13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2014-12-31, filed 2015-02-13, with 7,761 holding rows worth $280,098,700,000.
- Accession
- 0001140361-15-006197
- Filer
- CIK 70858
- Filed
- 2015-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2014
A combination report, 15,750 entries on the cover page, a total value of $280,098,700,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $280,098,700,000 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.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 |
|---|---|---|---|---|---|---|
| CARRIZO OIL & GAS INC | 144577103 | COM | 300 | $12,000 | thousands by filing date | call |
| KAMADA LTD | M6240T109 | SHS | 3,330 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 516 | $12,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 1,800 | $12,000 | thousands by filing date | put |
| SEACHANGE INTL INC | 811699107 | COM | 1,950 | $12,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 1,000 | $12,000 | thousands by filing date | put |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 1,315 | $12,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 10,000 | $12,000 | thousands by filing date | principal |
| CIENA CORP | 171779AE1 | NOTE | 12,000 | $12,000 | thousands by filing date | principal |
| SILVERCREST MINES INC | 828365106 | COMMON | 9,200 | $12,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 100 | $12,000 | thousands by filing date | put |
| ASTEA INTL INC | 04622E208 | COM | 7,010 | $12,000 | thousands by filing date | |
| RADIO ONE INC | 75040P108 | CL A | 7,134 | $12,000 | thousands by filing date | |
| TRAVELPORT WORLDWIDE LTD | G9019D104 | SHS | 688 | $12,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 1,794 | $12,000 | thousands by filing date | |
| Crestwood Mid Lp New | 226378107 | UNIT LTD PARTNER | 800 | $12,000 | thousands by filing date | call |
| GENIE ENERGY LTD | 372284208 | CL B | 1,818 | $11,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 700 | $11,000 | thousands by filing date | put |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 1,004 | $11,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 300 | $11,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 900 | $11,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 2,000 | $11,000 | thousands by filing date | call |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 1,668 | $11,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 2,318 | $11,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 700 | $11,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 1,156 | $11,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 590 | $11,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 1,300 | $11,000 | thousands by filing date | call |
| USD PARTNERS LP LP | 903318103 | STOK | 793 | $11,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 1,153 | $11,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 925 | $11,000 | thousands by filing date | |
| ACCESS MIDSTREAM PARTNERS L | 00434L109 | UNIT | 200 | $11,000 | thousands by filing date | put |
| ORAGENICS INC | 684023203 | COM NEW | 11,750 | $11,000 | thousands by filing date | |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 20,000 | $11,000 | thousands by filing date | principal |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 2,316 | $11,000 | thousands by filing date | |
| DIAMOND FOODS INC | 252603105 | COM | 400 | $11,000 | thousands by filing date | put |
| Female Health Company | 314462102 | COM | 2,847 | $11,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 3,300 | $11,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 1,000 | $11,000 | thousands by filing date | call |
| RENTRAK CORP | 760174102 | COM | 150 | $11,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 5,962 | $11,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 964 | $11,000 | thousands by filing date | |
| PIMCO GLOBAL ADV INFL LKD BD STRAT(ILB) | 72201R791 | ETF | 235 | $11,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 586 | $11,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 2,500 | $11,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 965 | $11,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 9,000 | $11,000 | thousands by filing date | principal |
| ZAZA ENERGY CORP - NEW | 98919T407 | COM | 4,480 | $11,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 1,070 | $11,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628409 | CUM PFD E 7.25% | 414 | $11,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 500 | $10,000 | thousands by filing date | call |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 632 | $10,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 401 | $10,000 | thousands by filing date | |
| AMERIS BANCORP | 03076K108 | COM | 400 | $10,000 | thousands by filing date | |
| MOELIS & CO | 60786M105 | CL A | 300 | $10,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 498 | $10,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 163 | $10,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 1,000 | $10,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 800 | $10,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 300 | $10,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 7,666 | $10,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 33,037 | $10,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 1,000 | $10,000 | thousands by filing date | put |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 1,000 | $10,000 | thousands by filing date | call |
| JOHNSON CONTROLS INT F | 478366107 | COM | 200 | $10,000 | thousands by filing date | put |
| LENDINGTREE INC NEW | 894675107 | COM | 203 | $10,000 | thousands by filing date | |
| XL GROUP PLC | G98290102 | SHS | 300 | $10,000 | thousands by filing date | put |
| UTS GULF COAST ULTRA DEEP | 40222T104 | COMMON STK | 8,064 | $10,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 2,800 | $10,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 100 | $10,000 | thousands by filing date | put |
| INTEGRATED SILICON SOLUTION | 45812P107 | COM | 556 | $10,000 | thousands by filing date | |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 2,241 | $10,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 3,100 | $10,000 | thousands by filing date | call |
| CEMEX SAB DE CV | 151290AV5 | NOTE | 10,000 | $10,000 | thousands by filing date | principal |
| HANSEN MEDICAL INC | 411307101 | COM | 18,800 | $10,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 10,608 | $10,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 1,000 | $10,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 474 | $10,000 | thousands by filing date | |
| VISION-SCIENCES INC | 927912105 | COM | 14,750 | $10,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 1,700 | $10,000 | thousands by filing date | call |
| ROYAL BK SCOTLAND PLC | 78009L308 | US LC TRENDP ETN | 245 | $10,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T115 | RIGHT 03/01/2019 | 2,000 | $10,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 1,000 | $10,000 | thousands by filing date | put |
| CHINA SUNERGY CO LTD | 16942X302 | SPONSORED ADR NE | 8,050 | $10,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y447 | DLYFINBEAR3X NEW | 800 | $10,000 | thousands by filing date | call |
| BRIDGELINE DIGITAL INC | 10807Q205 | COM | 21,900 | $10,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 5,000 | $10,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 5,035 | $10,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 5,400 | $10,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 808 | $10,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 23,023 | $10,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 567 | $10,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 400 | $10,000 | thousands by filing date | call |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 2,000 | $10,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 709 | $10,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 7,000 | $10,000 | thousands by filing date | principal |
| UBS AG | 90270KAW9 | NOTE 2/1 | 11,000 | $10,000 | thousands by filing date | principal |
| COEUR MNG INC COM NEW | 192108504 | Stock | 1,800 | $9,000 | thousands by filing date | call |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 900 | $9,000 | thousands by filing date | put |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 900 | $9,000 | thousands by filing date | put |
| Q2 HLDGS INC COM | 74736L109 | Stock | 500 | $9,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 2,500 | $9,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 260 | $9,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 1,000 | $9,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,032 | $9,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 1,010 | $9,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 550 | $9,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 696 | $9,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 830 | $9,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 7,000 | $9,000 | thousands by filing date | principal |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 520 | $9,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 3,400 | $9,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 898 | $9,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 1,000 | $9,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 404 | $9,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 1,600 | $9,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 1,000 | $9,000 | thousands by filing date | call |
| SYSTEMAX INC | 871851101 | COM | 637 | $9,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 389 | $9,000 | thousands by filing date | |
| SONIC FDRY INC | 83545R207 | COM NEW | 1,200 | $9,000 | thousands by filing date | |
| CROSSROADS SYS INC | 22765d209 | COM NEW | 3,550 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y488 | DLY SC BEAR3XNEW | 750 | $9,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 430 | $9,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 1,000 | $9,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 5,460 | $9,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 6,000 | $9,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 1,000 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 145 | $9,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 911 | $9,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 3,666 | $9,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 486 | $9,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 19,490 | $8,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 500 | $8,000 | thousands by filing date | call |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 329 | $8,000 | thousands by filing date | |
| LA Z BOY INC | 505336107 | COM | 300 | $8,000 | thousands by filing date | put |
| CDK GLOBAL INC | 12508E101 | COM | 200 | $8,000 | thousands by filing date | call |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 900 | $8,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 500 | $8,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 401 | $8,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 800 | $8,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 600 | $8,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAB9 | CORPORATE OBLIG | 8,000 | $8,000 | thousands by filing date | principal |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 11,800 | $8,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 244 | $8,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 1,240 | $8,000 | thousands by filing date | |
| OMNICARE INC | 681904AN8 | NOTE 3.750%12/1 | 3,000 | $8,000 | thousands by filing date | principal |
| LEXMARK INTL NEW | 529771107 | CL A | 200 | $8,000 | thousands by filing date | call |
| NEWLINK GENETICS CORP | 651511107 | COM | 200 | $8,000 | thousands by filing date | put |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 2,400 | $8,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 7,000 | $8,000 | thousands by filing date | principal |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 1,001 | $8,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 3,000 | $8,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 9,000 | $8,000 | thousands by filing date | call |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 724 | $8,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 60 | $8,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 400 | $8,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 3,000 | $8,000 | thousands by filing date | principal |
| INCYTE CORP | 45337CAJ1 | NOTE 4.750%10/0 | 1,000 | $8,000 | thousands by filing date | principal |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 800 | $8,000 | thousands by filing date | call |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 2,000 | $8,000 | thousands by filing date | principal |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 9,000 | $8,000 | thousands by filing date | principal |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 7,000 | $8,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 493 | $8,000 | thousands by filing date | |
| RIVER VY BANCORP | 768475105 | COM | 400 | $8,000 | thousands by filing date | |
| TIGERLOGIC CORPORATION | 8867EQ101 | COM | 19,470 | $8,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 600 | $8,000 | thousands by filing date | |
| ROKA BIOSCIENCE INC | 775431109 | COM | 1,720 | $8,000 | thousands by filing date | |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 2,536 | $8,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 201,500 | $8,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 500 | $7,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 131 | $7,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 400 | $7,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 500 | $7,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 5,235 | $7,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 425 | $7,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 100 | $7,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 325 | $7,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 1,800 | $7,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 2,601 | $7,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 7,000 | $7,000 | thousands by filing date | principal |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 7,000 | $7,000 | thousands by filing date | principal |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 7,536 | $7,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 100 | $7,000 | thousands by filing date | call |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 879 | $7,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 1,000 | $7,000 | thousands by filing date | put |
| OMNICARE INC | 681904108 | COM | 100 | $7,000 | thousands by filing date | call |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 6,000 | $7,000 | thousands by filing date | principal |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 952 | $7,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 1,400 | $7,000 | thousands by filing date | call |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 500 | $7,000 | thousands by filing date | |
| ANN INC | 035623107 | COM | 200 | $7,000 | thousands by filing date | call |
| Almaden Minerals Ltd | 020283107 | COM | 6,800 | $7,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 184 | $7,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 8,314 | $7,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 8,100 | $7,000 | thousands by filing date | put |
| UQM TECHNOLOGIES INC | 903213106 | COM | 9,050 | $7,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 4,000 | $7,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 3,583 | $7,000 | thousands by filing date | |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 3,200 | $7,000 | thousands by filing date | |
| WHITING USA TRUST I | 966389108 | TR U | 4,000 | $7,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 1,261 | $7,000 | thousands by filing date | |
| FRANKLIN FINANCIAL CORP/VA | 35353C102 | COM | 330 | $7,000 | thousands by filing date | |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 500 | $7,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 200 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 116 | $7,000 | thousands by filing date | |
| Polonia Bancorp, Inc. | 73158Q109 | Common Stock | 683 | $7,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 5,000 | $7,000 | thousands by filing date | |
| MADISON COUNTY FINANCIAL INC | 556777100 | COM | 375 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 500 | $7,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 1,000 | $7,000 | thousands by filing date | |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 6,000 | $7,000 | thousands by filing date | principal |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 37,504 | $7,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 2,009 | $7,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 466 | $7,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 2,484 | $7,000 | thousands by filing date | |
| J G WENTWORTH CO CL A | 46618D108 | CL A | 650 | $7,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 200 | $6,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 463 | $6,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 200 | $6,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 400 | $6,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 576 | $6,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 1,300 | $6,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 200 | $6,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 309 | $6,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 400 | $6,000 | thousands by filing date | call |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 260 | $6,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 1,500 | $6,000 | thousands by filing date | put |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 5,000 | $6,000 | thousands by filing date | principal |
| Northeast Community Bancorp Inc | 664112109 | COM | 800 | $6,000 | thousands by filing date | |
| INFOBLOX INC | 45672H104 | COM | 300 | $6,000 | thousands by filing date | call |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 1,200 | $6,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 900 | $6,000 | thousands by filing date | call |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 6,503 | $6,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 200 | $6,000 | thousands by filing date | |
| BROADSOFT INC | 11133B409 | COM | 200 | $6,000 | thousands by filing date | put |
| NEUSTAR INC | 64126X201 | CL A | 200 | $6,000 | thousands by filing date | call |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 7,300 | $6,000 | thousands by filing date | call |
| RAND CAP CORP | 752185108 | COM | 1,461 | $6,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 2,000 | $6,000 | thousands by filing date | put |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 13,000 | $6,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 3,080 | $6,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 4,352 | $6,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 563 | $6,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 5,000 | $6,000 | thousands by filing date | principal |
| EMCORE CORP | 290846203 | COM | 1,200 | $6,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 600 | $6,000 | thousands by filing date | call |
| SPARTON CORP | 847235108 | COM | 200 | $6,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 3,648 | $6,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 1,100 | $6,000 | thousands by filing date | put |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 9,350 | $6,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 4,225 | $6,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 3,500 | $6,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 1,145 | $6,000 | thousands by filing date | |
| HEALTH CARE REIT INC CONV 6.50 | 42217K601 | PFD | 92 | $6,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 180 | $6,000 | thousands by filing date | |
| PROLOGIS | 743410AY8 | NOTE 3.250% 3/1 | 5,000 | $6,000 | thousands by filing date | principal |
| BANK OF AMERICA CORP | 060505153 | CMN | 8,100 | $6,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 1,293 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 242 | $6,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 5,000 | $6,000 | thousands by filing date | principal |
| TEKMIRA PHARMACEUTICALS COR | 87911B209 | COM NEW | 400 | $6,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 2,500 | $6,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 1,000 | $6,000 | thousands by filing date | |
| LIVEDEAL INC | 538144304 | COM NEW | 2,000 | $6,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 800 | $6,000 | thousands by filing date | |
| KITE PHARMA INC | 49803L109 | COM | 100 | $6,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 7,500 | $6,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 200 | $6,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 355 | $6,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 1,000 | $6,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 4,500 | $6,000 | thousands by filing date | |
| CIVEO CORP | 178787107 | COM | 1,400 | $6,000 | thousands by filing date | put |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 2,300 | $5,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 500 | $5,000 | thousands by filing date | call |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 500 | $5,000 | thousands by filing date | call |
| VERACYTE INC COM | 92337F107 | Stock | 500 | $5,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 300 | $5,000 | thousands by filing date | put |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 168 | $5,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 105 | $5,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 321 | $5,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 200 | $5,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 172 | $5,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 500 | $5,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 1,000 | $5,000 | thousands by filing date | put |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 200 | $5,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 200 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 63 | $5,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 100 | $5,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 200 | $5,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 870 | $5,000 | thousands by filing date | |
| JOURNAL COMMUNICATIONS INC-A | 481130102 | COMMON STOCK | 420 | $5,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 2,826 | $5,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 2,100 | $5,000 | thousands by filing date | call |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 185 | $5,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 1,000 | $5,000 | thousands by filing date | call |
| Jason Industries Inc | 471172106 | COMMON STOCK | 500 | $5,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 2,196 | $5,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAC3 | NOTE 3.250% 5/1 | 5,000 | $5,000 | thousands by filing date | principal |
| TEAM INC | 878155100 | COM | 112 | $5,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 800 | $5,000 | thousands by filing date | call |
| EXETER RES CORP | 301835104 | COM | 9,050 | $5,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 200 | $5,000 | thousands by filing date | |
| GFI GROUP INC | 361652209 | COM | 1,000 | $5,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 5,000 | $5,000 | thousands by filing date | principal |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 400 | $5,000 | thousands by filing date | call |
| RTI BIOLOGICS INC | 74975N105 | COM | 1,000 | $5,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 1,390 | $5,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 150 | $5,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 500 | $5,000 | thousands by filing date | call |
| CACHE INC | 127150308 | COM | 27,548 | $5,000 | thousands by filing date | |
| INTL SHIPHOLDING CORP | 460321201 | COM | 303 | $5,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 400 | $5,000 | thousands by filing date | call |
| CYAN INC | 23247W104 | COM | 1,933 | $5,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 1,017 | $5,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 200 | $5,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 2,000 | $5,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 5,000 | $5,000 | thousands by filing date | principal |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 2,000 | $5,000 | thousands by filing date | principal |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 525 | $5,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 200 | $5,000 | thousands by filing date | |
| SUTOR TECHNOLOGY GROUP LTD | 869362103 | CMN | 10,000 | $5,000 | thousands by filing date | |
| CHINA INFORMATION TECHNOLOGY | G21174100 | CMN | 1,176 | $5,000 | thousands by filing date | |
| ATLATSA RES CORP | 049477102 | COM | 25,125 | $5,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 219,065 | $5,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 5,000 | $5,000 | thousands by filing date | principal |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 125 | $5,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B613 | CONTRARIAN OPP | 200 | $5,000 | thousands by filing date | |
| BDCA VENTURE INC | 05543L106 | COM | 1,112 | $5,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461365 | BLUE CHIP ETF | 297 | $5,000 | thousands by filing date | |
| Sphere 3D Corp. | 84841Q109 | COM | 927 | $5,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 200 | $4,000 | thousands by filing date | call |
| GEOPARK LTD USD SHS | G38327105 | Stock | 750 | $4,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 1,000 | $4,000 | thousands by filing date | put |
| CASELLA WASTE SYS INC | 147448104 | CL A | 1,072 | $4,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 242 | $4,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 460 | $4,000 | thousands by filing date | |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 345 | $4,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 800 | $4,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 146 | $4,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 715 | $4,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 600 | $4,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 209 | $4,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 100 | $4,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 100 | $4,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 1,900 | $4,000 | thousands by filing date | put |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 100 | $4,000 | thousands by filing date | put |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 4,000 | $4,000 | thousands by filing date | principal |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 4,000 | $4,000 | thousands by filing date | principal |
| CASCADE MICROTECH INC | 147322101 | COMMON STOCK | 300 | $4,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 500 | $4,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 4,000 | $4,000 | thousands by filing date | principal |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 100 | $4,000 | thousands by filing date | put |
| Gulfport Energy | 402635304 | COM | 100 | $4,000 | thousands by filing date | call |
| EDGIO INC | 53261M104 | COM | 1,613 | $4,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 250 | $4,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 250 | $4,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 850 | $4,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 1,328 | $4,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 4,000 | $4,000 | thousands by filing date | principal |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 400 | $4,000 | thousands by filing date | put |
| VICAL INC | 925602104 | COM | 4,001 | $4,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 1,500 | $4,000 | thousands by filing date | |
| HOLOGIC INC 2.000 | 436440AB7 | FRNT 2.000%12/1 | 3,000 | $4,000 | thousands by filing date | principal |
| BARCLAYS BK PLC IPATH S&P MT E | 06740C519 | COM | 307 | $4,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 1,060 | $4,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 1,100 | $4,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 1,429 | $4,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 4,000 | $4,000 | thousands by filing date | principal |
| SYNACOR INC | 871561106 | COM | 2,000 | $4,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 5,856 | $4,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 2,012 | $4,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 2,155 | $4,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 500 | $4,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 100 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 200 | $4,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 2,000 | $4,000 | thousands by filing date | principal |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 146 | $4,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 10,300 | $4,000 | thousands by filing date | |
| PRICELINE COM INC | 741503AN6 | BOND | 1,000 | $4,000 | thousands by filing date | principal |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 35 | $4,000 | thousands by filing date | |
| PROSHARES TR II | 74347W361 | VIX STRMFUT ETF | 200 | $4,000 | thousands by filing date | put |
| ISHARES TR | 46429B382 | MSCI EMKT LATN | 113 | $4,000 | thousands by filing date | |
| Athens Bancshares Corporation | 047042106 | Common Stock | 161 | $4,000 | thousands by filing date | |
| Southcoast Financial Corporation | 84129R100 | Common Stock | 527 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B670 | S&P EMRGHIBETA | 205 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B696 | S&P INTDEV HIB | 162 | $4,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 6,000 | $4,000 | thousands by filing date | |
| CHIPOTLE MEXICAN GRILL INC | 73937B738 | COM | 74 | $4,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 6,810 | $4,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 1,732 | $4,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 300 | $4,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 1,300 | $4,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 100 | $3,000 | thousands by filing date | call |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 46 | $3,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 100 | $3,000 | thousands by filing date | put |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 167 | $3,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 200 | $3,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 369 | $3,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 100 | $3,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 1,600 | $3,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 37 | $3,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 1,250 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 125 | $3,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 100 | $3,000 | thousands by filing date | call |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 521 | $3,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 35 | $3,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 500 | $3,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 79 | $3,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 1,300 | $3,000 | thousands by filing date | call |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 1,600 | $3,000 | thousands by filing date | call |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 1,100 | $3,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 190 | $3,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 2,070 | $3,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 726 | $3,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 200 | $3,000 | thousands by filing date | call |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 200 | $3,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 400 | $3,000 | thousands by filing date | put |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 6,000 | $3,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 3,000 | $3,000 | thousands by filing date | principal |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 130 | $3,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 11,700 | $3,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 870 | $3,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 487 | $3,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 1,050 | $3,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 1,000 | $3,000 | thousands by filing date | put |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 2,656 | $3,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 505 | $3,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 757 | $3,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 1,051 | $3,000 | thousands by filing date | |
| MILLER ENERGY RES INC | 600527105 | COM | 2,000 | $3,000 | thousands by filing date | |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 784 | $3,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 1,621 | $3,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 186 | $3,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 6,100 | $3,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 1,000 | $3,000 | thousands by filing date | |
| HEALTH CARE REIT INC | 42217KAR7 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 7,100 | $3,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 2,204 | $3,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 2,001 | $3,000 | thousands by filing date | |
| GIGOPTIX INC | 37517y103 | COM | 2,500 | $3,000 | thousands by filing date | |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 375 | $3,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 2,000 | $3,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y447 | DLYFINBEAR3X NEW | 200 | $3,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 5,429 | $3,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 1,595 | $3,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 27 | $3,000 | thousands by filing date | |
| BURCON NUTRASCIENCE CORP | 120831102 | COM | 1,300 | $3,000 | thousands by filing date | |
| HERCULES TECHNOLOGY GROWTH | 427096AB8 | CNV | 2,000 | $3,000 | thousands by filing date | principal |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 249 | $3,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 240 | $3,000 | thousands by filing date | |
| NOVAGOLD RES INC | 66987EAA5 | NOTE 5.500% 5/0 | 3,000 | $3,000 | thousands by filing date | principal |
| DOMINION RES BLACK WARRIOR T | 25746Q108 | UNITS BEN INT | 600 | $3,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 460 | $3,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 200 | $3,000 | thousands by filing date | |
| DIAMOND RESORTS INTL INC | 25272T104 | COM | 100 | $3,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 400 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 51 | $3,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 500 | $3,000 | thousands by filing date | |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 15,600 | $3,000 | thousands by filing date | call |
| NEW HOME CO INC COM | 645370107 | COM | 238 | $3,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 121 | $3,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F203 | COM NEW | 905 | $3,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 230 | $3,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 600 | $3,000 | thousands by filing date | call |
| CELATOR PHARMACEUTICALS INC | 15089R102 | Cmn | 1,704 | $3,000 | thousands by filing date | |
| TECUMSEH PRODS CO | 878895309 | COM | 939 | $3,000 | thousands by filing date | |
| AXION PWR INTL INC | 05460X208 | COM NEW | 2,768 | $3,000 | thousands by filing date | |
| ZBB ENERGY CORP | 98876R303 | COM NEW | 5,967 | $3,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 100 | $2,000 | thousands by filing date | |
| TRINET GROUP INC COM | 896288107 | Stock | 54 | $2,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 100 | $2,000 | thousands by filing date | call |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 184 | $2,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 45 | $2,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 164 | $2,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 96 | $2,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 99 | $2,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 100 | $2,000 | thousands by filing date | call |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 114 | $2,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 100 | $2,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 141 | $2,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 200 | $2,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 200 | $2,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 204 | $2,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 200 | $2,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 100 | $2,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 3,000 | $2,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 3,000 | $2,000 | thousands by filing date | principal |
| BARNWELL INDS INC | 068221100 | COM | 600 | $2,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 200 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 28 | $2,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 415 | $2,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 443 | $2,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 5,700 | $2,000 | thousands by filing date | |
| Gevo Inc | 374396109 | COMMON | 5,244 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W540 | FUND | 23 | $2,000 | thousands by filing date | |
| RPX CORP | 74972G103 | COM | 173 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-15-006197 | this filing | 2015-02-13 | acceptance time not in the bulk data set |