13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-16, with 7,328 holding rows worth $402,198,383,000.
- Accession
- 0001140361-15-041624
- Filer
- CIK 70858
- Filed
- 2015-11-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 20,359 entries on the cover page, a total value of $402,198,383,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $402,198,383,000 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
- included managerMANAGED ACCOUNT ADVISORS LLC028-12631
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 |
|---|---|---|---|---|---|---|
| POTBELLY CORP | 73754Y100 | COM | 4,050 | $44,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 3,124 | $44,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 3,572 | $44,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 3,945 | $44,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 2,585 | $43,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 15,853 | $43,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 2,600 | $43,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 5,018 | $43,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 2,152 | $43,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 8,767 | $43,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 1,528 | $43,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 19,500 | $43,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 7,569 | $43,000 | thousands by filing date | |
| BLYTH INC | 09643P207 | COM NEW | 7,298 | $43,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 4,880 | $43,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 600 | $42,000 | thousands by filing date | put |
| UR-ENERGY INC | 91688R108 | COM | 73,875 | $42,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 947 | $42,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 3,875 | $42,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 2,066 | $42,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 7,456 | $42,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 10,067 | $42,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 2,100 | $42,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 10,707 | $42,000 | thousands by filing date | |
| SUNEDISON SEMI | Y8213L102 | Common Stock | 3,961 | $42,000 | thousands by filing date | |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 30,646 | $42,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 2,000 | $41,000 | thousands by filing date | call |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 2,079 | $41,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 1,810 | $41,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 2,157 | $41,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 1,542 | $41,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH ETN L | 22542D852 | COM | 1,978 | $41,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 9,900 | $41,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 3,109 | $41,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 2,295 | $40,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 2,732 | $40,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 1,200 | $40,000 | thousands by filing date | call |
| THERAPEUTICSMD INC | 88338N107 | COM | 6,928 | $40,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 1,000 | $40,000 | thousands by filing date | call |
| NEVSUN RES LTD | 64156L101 | COM | 14,015 | $40,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 600 | $40,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 5,035 | $40,000 | thousands by filing date | |
| RENTRAK CORP | 760174102 | COM | 742 | $40,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 1,603 | $39,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 10,000 | $39,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 2,000 | $39,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 16,817 | $39,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 15,839 | $39,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 24,786 | $39,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 26,500 | $39,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 30,040 | $39,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 63,870 | $39,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X830 | RUSS NOMURA PR | 890 | $39,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 43,605 | $39,000 | thousands by filing date | |
| TRAVELPORT WORLDWIDE LTD | G9019D104 | SHS | 2,957 | $39,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 2,983 | $39,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 6,554 | $39,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 8,400 | $39,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 1,000 | $39,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 1,080 | $38,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 14,706 | $38,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 37,000 | $38,000 | thousands by filing date | principal |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 1,256 | $38,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 6,000 | $38,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 918 | $38,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 44,886 | $38,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 12,185 | $38,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 47,078 | $38,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06741L609 | IPATH DYNM VIX | 1,300 | $38,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 915 | $38,000 | thousands by filing date | |
| PROSHARES TR | 74347X476 | SHT KBW REGBNK | 1,500 | $38,000 | thousands by filing date | |
| NEPHROGENEX INC | 640667101 | Cmn | 11,100 | $38,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 37,636 | $37,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 1,016 | $37,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 609 | $37,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 1,520 | $37,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 1,721 | $37,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 11,699 | $37,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 2,543 | $37,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 3,550 | $37,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 6,586 | $37,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 675 | $37,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 1,000 | $37,000 | thousands by filing date | put |
| CURIS INC | 231269101 | COM | 18,624 | $37,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 13,390 | $37,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 22,997 | $37,000 | thousands by filing date | |
| UBS AG JERSEY BRANCH | 902664200 | 2XMN ALR MLP INF | 1,500 | $37,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 5,700 | $37,000 | thousands by filing date | call |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 1,610 | $37,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,966 | $37,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E135 | GBL X JPM ROTA | 1,575 | $37,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 500 | $36,000 | thousands by filing date | put |
| MEDLEY CAP CORP | 58503F106 | COM | 4,800 | $36,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 6,482 | $36,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 1,703 | $36,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 3,454 | $36,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 1,045 | $36,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 4,379 | $36,000 | thousands by filing date | |
| PREMIERE GLOBAL SVCS INC | 740585104 | COM | 2,632 | $36,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 2,575 | $36,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 950 | $36,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D654 | 3X INVERS SILV | 534 | $36,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 2,000 | $36,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 33,000 | $36,000 | thousands by filing date | principal |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 7,564 | $36,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 1,785 | $36,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 1,005 | $35,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 300 | $35,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 1,408 | $35,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 7,300 | $35,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 3,588 | $35,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 2,003 | $35,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 3,705 | $35,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 1,421 | $35,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 4,491 | $35,000 | thousands by filing date | |
| FIRST TR ISE GLBL PLAT INDX | 33737C104 | COM | 6,409 | $35,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 400 | $34,000 | thousands by filing date | put |
| ISHARES TR | 46435G102 | CONV BD ETF | 755 | $34,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 1,777 | $34,000 | thousands by filing date | |
| SL INDS INC | 784413106 | COMMON STOCK | 1,000 | $34,000 | thousands by filing date | |
| LAM RESEARCH CORP 0.500 | 512807AJ7 | NOTE 0.500% 5/1 | 30,000 | $34,000 | thousands by filing date | principal |
| TROVAGENE INC | 897238309 | COM | 5,942 | $34,000 | thousands by filing date | |
| GLOBAL X | 37950E275 | GBLX URANIUM NEW | 4,846 | $34,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 3,323 | $34,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 2,700 | $34,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 1,782 | $33,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 3,100 | $33,000 | thousands by filing date | call |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 1,297 | $33,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 2,905 | $33,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 6,392 | $33,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 17,268 | $33,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 3,443 | $33,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 500 | $33,000 | thousands by filing date | put |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 3,079 | $33,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 705 | $33,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 522 | $33,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 1,740 | $33,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 2,013 | $32,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 2,238 | $32,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 2,500 | $32,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 680 | $32,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 12,096 | $32,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 34,000 | $32,000 | thousands by filing date | principal |
| XOOM CORP | 98419Q101 | COM | 1,314 | $32,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 28,462 | $32,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 2,400 | $32,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 26,182 | $32,000 | thousands by filing date | |
| 6D Global Tech Inc | 83002F100 | COM | 11,026 | $32,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 7,053 | $32,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 1,300 | $31,000 | thousands by filing date | call |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 2,109 | $31,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 1,200 | $31,000 | thousands by filing date | put |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,986 | $31,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 1,300 | $31,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 5,000 | $31,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 2,416 | $31,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 544 | $31,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 2,377 | $31,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 15,750 | $31,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 11,486 | $31,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E846 | GLB X BRAZ CON | 3,968 | $31,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 1,009 | $31,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 5,142 | $31,000 | thousands by filing date | |
| JP ENERGY PARTNERS LP | 46643C109 | UNT REPST LTD | 5,051 | $31,000 | thousands by filing date | |
| SERVISFIRST BANCSHARES INC | 81768T108 | COM | 745 | $30,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 3,675 | $30,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 793 | $30,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 629 | $30,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 1,039 | $30,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 5,000 | $30,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 4,033 | $30,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 521 | $30,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 11,266 | $30,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 2,033 | $30,000 | thousands by filing date | |
| HEARTWARE INTL INC | 422368100 | COM | 562 | $30,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 2,903 | $30,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 3,598 | $30,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 1,877 | $30,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 2,938 | $30,000 | thousands by filing date | |
| OPUS BK IRVINE CALIF | 684000102 | COM | 789 | $30,000 | thousands by filing date | |
| PROSHARES TR II ULT VIX SHRT | 74347W312 | CEF | 543 | $30,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 840 | $29,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 1,989 | $29,000 | thousands by filing date | |
| TERADATA CORP DEL | 88076W103 | COM | 1,000 | $29,000 | thousands by filing date | call |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 420 | $29,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 2,243 | $29,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 1,945 | $29,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 2,354 | $29,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 21,800 | $29,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 11,774 | $29,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 2,000 | $29,000 | thousands by filing date | put |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 2,003 | $29,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 28,000 | $29,000 | thousands by filing date | principal |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 1,796 | $29,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 35,061 | $29,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 965 | $29,000 | thousands by filing date | |
| SPDR SER TR | 78468R507 | SPDR BOFA ML | 1,038 | $29,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 12,537 | $29,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 1,650 | $29,000 | thousands by filing date | |
| ARCH COAL INC | 039380308 | Common Stock | 9,130 | $29,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 75,509 | $28,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 1,500 | $28,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 5,100 | $28,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 2,325 | $28,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 2,017 | $28,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 7,860 | $28,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 3,355 | $28,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 10,935 | $28,000 | thousands by filing date | |
| SWIFT ENERGY CO | 870738101 | COM | 76,415 | $28,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 1,000 | $28,000 | thousands by filing date | call |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 1,966 | $28,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 18,000 | $28,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 2,105 | $28,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 2,775 | $28,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 1,892 | $27,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 3,005 | $27,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 1,119 | $27,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 1,032 | $27,000 | thousands by filing date | |
| CAMPUS CREST COMMUNITIES I | 13466Y105 | COM | 5,070 | $27,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 3,449 | $27,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 50,493 | $27,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 5,035 | $27,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 20,042 | $27,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 14,200 | $26,000 | thousands by filing date | put |
| WSFS FINL CORP | 929328102 | COM | 912 | $26,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 2,194 | $26,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 1,000 | $26,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 1,489 | $26,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 1,000 | $26,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 7,690 | $26,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 78,530 | $26,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 2,039 | $26,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 2,119 | $26,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 1,367 | $26,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 2,548 | $26,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 2,000 | $26,000 | thousands by filing date | |
| CATALYST | 14888D109 | COM | 5,395 | $26,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 5,000 | $26,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 2,000 | $25,000 | thousands by filing date | put |
| FRESHPET INC COM | 358039105 | Stock | 2,308 | $25,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 2,528 | $25,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 1,100 | $25,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 600 | $25,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 4,292 | $25,000 | thousands by filing date | |
| TRIMAS CORP | 896215209 | COM NEW | 1,539 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 1,156 | $25,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 2,939 | $25,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 3,682 | $25,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 589 | $25,000 | thousands by filing date | |
| CYNAPSUS THERAPEUTICS INC | 23257Y859 | COM PAR NO PAR | 1,545 | $25,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 1,200 | $24,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 179 | $24,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 1,326 | $24,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 2,306 | $24,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 4,323 | $24,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 1,745 | $24,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 2,000 | $24,000 | thousands by filing date | call |
| DURECT CORP | 266605104 | COM | 12,421 | $24,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 6,268 | $24,000 | thousands by filing date | |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 341 | $24,000 | thousands by filing date | |
| TEMPLETON RUS AND EAST EUR F | 88022F105 | COM | 2,420 | $24,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 2,080 | $24,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 1,124 | $23,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 1,219 | $23,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 781 | $23,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 2,800 | $23,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 12,958 | $23,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 133,489 | $23,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 4,071 | $23,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 5,000 | $23,000 | thousands by filing date | put |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 10,000 | $23,000 | thousands by filing date | |
| CITIGROUP INC | 172967234 | *W EXP 10/28/201 | 2,259,098 | $23,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 5,349 | $23,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 6,480 | $23,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 3,200 | $23,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 4,700 | $23,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628409 | CUM PFD E 7.25% | 917 | $23,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R353 | CHINAAMC BD ETF | 939 | $23,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 2,800 | $22,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 2,905 | $22,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 868 | $22,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 540 | $22,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 1,555 | $22,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 1,153 | $22,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 2,033 | $22,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 612 | $22,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 11,406 | $22,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 3,519 | $22,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 22,000 | $22,000 | thousands by filing date | principal |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 4,000 | $22,000 | thousands by filing date | principal |
| AMYRIS INC | 03236M101 | COM | 10,800 | $22,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 3,015 | $22,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 2,000 | $22,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 2,136 | $22,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 3,300 | $22,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 1,000 | $21,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 13,500 | $21,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 2,225 | $21,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 2,490 | $21,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 1,000 | $21,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 23,000 | $21,000 | thousands by filing date | principal |
| DYNATRONICS CORP | 268157401 | COM NEW | 6,759 | $21,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 1,195 | $21,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 24,000 | $21,000 | thousands by filing date | principal |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 7,336 | $21,000 | thousands by filing date | |
| SPDR SER TR | 78468R846 | BRCLY HGH YIEL | 975 | $21,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 656 | $20,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 1,704 | $20,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 1,000 | $20,000 | thousands by filing date | put |
| ADDUS HOMECARE CORP | 006739106 | COM | 651 | $20,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 1,700 | $20,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 684 | $20,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 19,103 | $20,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 1,523 | $20,000 | thousands by filing date | |
| WISDOMTREE | 97717W752 | EXCHANGE TRADED | 988 | $20,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 1,256 | $20,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 1,160 | $20,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 10,306 | $20,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424108 | SPONSORED ADR | 35,200 | $20,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 970 | $20,000 | thousands by filing date | |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 1,468 | $20,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 742 | $20,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,900 | $20,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 575 | $20,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B852 | S&P SMCP MAT P | 636 | $20,000 | thousands by filing date | |
| SYSOREX GLOBAL COM NEW | 87184N203 | Stock | 20,000 | $20,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 1,000 | $19,000 | thousands by filing date | call |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 2,485 | $19,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 4,000 | $19,000 | thousands by filing date | call |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 1,700 | $19,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 2,137 | $19,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 3,000 | $19,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 1,059 | $19,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 6,000 | $19,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 4,778 | $19,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 2,160 | $19,000 | thousands by filing date | |
| EVER GLORY INTL GRP INC | 299766204 | COM | 7,500 | $19,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 6,012 | $19,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 1,979 | $19,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 3,150 | $19,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 2,182 | $18,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 1,637 | $18,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 3,300 | $18,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 2,000 | $18,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 750 | $18,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 2,834 | $18,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 539 | $18,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 26,248 | $18,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 32,140 | $18,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 1,110 | $18,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 21,900 | $18,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 994 | $18,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 10,000 | $18,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 12,501 | $18,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 48,000 | $18,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 5,000 | $18,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 152 | $18,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F104 | COM | 35,789 | $18,000 | thousands by filing date | |
| COLUMBIA PIPELINE GROUP INC | 198280109 | COM | 1,000 | $18,000 | thousands by filing date | call |
| AVINGER INC | 053734109 | COM | 1,223 | $18,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 1,200 | $18,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AG9 | NOTE 2.75010/0 | 6,000 | $18,000 | thousands by filing date | principal |
| OHA INVT CORP | 67091U102 | COM | 4,298 | $18,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 6,332 | $18,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 3,976 | $17,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 2,300 | $17,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 1,650 | $17,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 1,176 | $17,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 1,099 | $17,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 723 | $17,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 959 | $17,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 1,642 | $17,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 98,000 | $17,000 | thousands by filing date | call |
| FLOTEK INDS INC DEL | 343389102 | COM | 1,000 | $17,000 | thousands by filing date | put |
| AIR INDS GROUP COM | 00912N205 | Stock | 1,900 | $17,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 10,000 | $17,000 | thousands by filing date | call |
| ORBCOMM INC | 68555P100 | COM | 2,975 | $17,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 2,536 | $17,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 10,000 | $17,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 2,200 | $17,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 1,259 | $17,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 2,500 | $17,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 14,000 | $17,000 | thousands by filing date | principal |
| SONUS NETWORKS INC | 835916503 | COM NEW | 3,032 | $17,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 6,700 | $17,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 2,265 | $17,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 1,587 | $17,000 | thousands by filing date | |
| CARDTRONICS INC | 14161HAG3 | NOTE 1.000%12/0 | 18,000 | $17,000 | thousands by filing date | principal |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 757 | $17,000 | thousands by filing date | |
| VOYA FINANCIAL INC COM | 929089100 | Stock | 400 | $16,000 | thousands by filing date | put |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 1,800 | $16,000 | thousands by filing date | call |
| PENUMBRA INC COM | 70975L107 | Stock | 406 | $16,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 1,895 | $16,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 695 | $16,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 1,210 | $16,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 3,900 | $16,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 600 | $16,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 1,000 | $16,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 719 | $16,000 | thousands by filing date | |
| LRR ENERGY LP | 50214A104 | COMMON STOCK | 4,074 | $16,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 600 | $16,000 | thousands by filing date | put |
| CHIPMOS TECH BERMUDA LTD | G2110R114 | SHS | 1,000 | $16,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 1,315 | $16,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 4,361 | $16,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 6,991 | $16,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 1,027 | $16,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 12,050 | $16,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 1,000 | $16,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 800 | $16,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 1,500 | $16,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 16,000 | $16,000 | thousands by filing date | principal |
| VENAXIS INC | 92262A107 | COM | 51,409 | $16,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 1,385 | $16,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 976 | $16,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 10,662 | $16,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F861 | UNIT 09/01/2016 | 300 | $16,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 1,899 | $15,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 865 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 366 | $15,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 766 | $15,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 200 | $15,000 | thousands by filing date | call |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 659 | $15,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 1,474 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 610 | $15,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 761 | $15,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 5,700 | $15,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 381 | $15,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 478 | $15,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 15,327 | $15,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 1,598 | $15,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 356 | $15,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 1,000 | $15,000 | thousands by filing date | call |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 1,106 | $15,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 8,209 | $15,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 900 | $15,000 | thousands by filing date | |
| LINCOLN NATL CORP IND | 534187117 | *W EXP 07/10/201 | 375 | $15,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 5,011 | $15,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 2,766 | $15,000 | thousands by filing date | |
| AMERICAN ELECTRIC TECHNOLOGIES | 025576109 | COMM | 5,910 | $15,000 | thousands by filing date | |
| ELEMENTS LKD TO S&P CMDTY TR | 4042EP602 | CMN | 2,669 | $15,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 11,700 | $15,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 600 | $15,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 1,200 | $15,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 895 | $15,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 18,000 | $15,000 | thousands by filing date | principal |
| IDI INC | 44938L108 | COM | 2,000 | $15,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 1,966 | $14,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 847 | $14,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 975 | $14,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 1,000 | $14,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 841 | $14,000 | thousands by filing date | |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 707 | $14,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 3,000 | $14,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 2,405 | $14,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 1,500 | $14,000 | thousands by filing date | |
| PARAGON OFFSHORE PLC XXX | G6S01W108 | COM | 58,639 | $14,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 3,960 | $14,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,000 | $14,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,000 | $14,000 | thousands by filing date | |
| FAIRCHILD SEMICONDUCTOR | 303726103 | COMMON STOCK | 1,000 | $14,000 | thousands by filing date | put |
| FAIRCHILD SEMICONDUCTOR | 303726103 | COMMON STOCK | 1,000 | $14,000 | thousands by filing date | call |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 872 | $14,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 2,232 | $14,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 47,100 | $14,000 | thousands by filing date | call |
| HORSEHEAD HLDG CORP | 440694305 | COM | 4,668 | $14,000 | thousands by filing date | |
| JOES JEANS INC | 47777N101 | COM | 41,200 | $14,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 16,795 | $14,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 1,544 | $14,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,000 | $14,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 970 | $14,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 500 | $14,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 875 | $14,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 2,683 | $14,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 2,675 | $14,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 420 | $13,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 115 | $13,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 1,000 | $13,000 | thousands by filing date | call |
| SEARS CDA INC | 81234D109 | COM | 1,947 | $13,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 1,156 | $13,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 1,000 | $13,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 860 | $13,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 1,354 | $13,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 1,000 | $13,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 962 | $13,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 1,041 | $13,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 3,477 | $13,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 1,600 | $13,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 2,383 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E861 | COPPER MNR ETF | 2,952 | $13,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 1,000 | $13,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 836 | $13,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 2,100 | $13,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 7,500 | $13,000 | thousands by filing date | |
| AVALANCHE BIOT | 05337G107 | Common Stock | 1,570 | $13,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 5,500 | $13,000 | thousands by filing date | |
| OI SA SPONSORED ADR CMN | 670851302 | COM | 18,649 | $13,000 | thousands by filing date | |
| TRONC INC | 896082104 | Common equity shares | 1,617 | $13,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 3,218 | $12,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 240 | $12,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 500 | $12,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-15-041624 | this filing | 2015-11-16 | acceptance time not in the bulk data set |