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 |
|---|---|---|---|---|---|---|
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 664 | $12,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 2,561 | $12,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 466 | $12,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,231 | $12,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 717 | $12,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,032 | $12,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 1,202 | $12,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 5,484 | $12,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 43,285 | $12,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 2,411 | $12,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 746 | $12,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 790 | $12,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 1,275 | $12,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R783 | SOLAR ENRG NEW | 243 | $12,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94986RPJ4 | 0% 01/24/20 | 10,000 | $12,000 | thousands by filing date | principal |
| NANOVIRICIDES INC | 630087203 | COM NEW | 9,959 | $12,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 1,000 | $12,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 486 | $12,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 1,055 | $12,000 | thousands by filing date | |
| PREMIER EXHIBITIONS INC COM NEW | 74051E201 | Stock | 7,003 | $12,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Japan ETF | 97717X503 | COM | 400 | $12,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 2,131 | $12,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 500 | $11,000 | thousands by filing date | call |
| AH RLTY TR INC | 04208T108 | COM | 1,091 | $11,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 262 | $11,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 546 | $11,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 590 | $11,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 335 | $11,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 1,145 | $11,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 2,089 | $11,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,548 | $11,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 20,000 | $11,000 | thousands by filing date | principal |
| SILICOM LTD | M84116108 | ORD | 400 | $11,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 8,000 | $11,000 | thousands by filing date | principal |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 4,300 | $11,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 16,200 | $11,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 500 | $11,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 11,000 | $11,000 | thousands by filing date | principal |
| NORTEK INC | 656559309 | COM NEW | 167 | $11,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 933 | $11,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 9,000 | $11,000 | thousands by filing date | principal |
| ISRAMCO INC | 465141406 | COM | 112 | $11,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 7,000 | $11,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 4,100 | $11,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 302 | $11,000 | thousands by filing date | |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 5,635 | $11,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,049 | $11,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 52,615 | $11,000 | thousands by filing date | |
| ERBA DIAGNOSTICS | 29490B101 | COM | 6,000 | $11,000 | thousands by filing date | |
| Regeneron Pharmaceuticals, In | 75886FAD9 | CONV | 2,000 | $11,000 | thousands by filing date | principal |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 700 | $11,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 500 | $11,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 4,270 | $11,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 2,507 | $11,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 726 | $11,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 1,655 | $11,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QLX2 | MTNF 2/1 | 11,000 | $11,000 | thousands by filing date | principal |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 2,148 | $11,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 1,070 | $11,000 | thousands by filing date | |
| UBS AG | 90270KAW9 | NOTE 2/1 | 11,000 | $11,000 | thousands by filing date | principal |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 1,400 | $10,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 749 | $10,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 758 | $10,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 1,750 | $10,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 874 | $10,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 803 | $10,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 500 | $10,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 451 | $10,000 | thousands by filing date | |
| NEW RELIC INC | 64829B100 | COMMON STOCK | 269 | $10,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 5,000 | $10,000 | thousands by filing date | principal |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 912 | $10,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 4,685 | $10,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 1,223 | $10,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 69 | $10,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 987 | $10,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 336 | $10,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 10,000 | $10,000 | thousands by filing date | principal |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 281 | $10,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 14,444 | $10,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 10,000 | $10,000 | thousands by filing date | |
| GOODRICH PETE CORP | 382410405 | COM NEW | 16,178 | $10,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 5,594 | $10,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 12,500 | $10,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 1,600 | $10,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 2,171 | $10,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 1,140 | $10,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 2,637 | $10,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 17,000 | $10,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 2,000 | $10,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 10,000 | $10,000 | thousands by filing date | principal |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 2,500 | $10,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 4,052 | $10,000 | thousands by filing date | |
| RADIO ONE INC | 75040P108 | CL A | 4,400 | $10,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 808 | $10,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 10,000 | $10,000 | thousands by filing date | principal |
| Onconova Therapeutics | 68232V108 | Common | 7,008 | $10,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 100 | $9,000 | thousands by filing date | put |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 600 | $9,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 2,000 | $9,000 | thousands by filing date | call |
| EGAIN CORP | 28225C806 | COM NEW | 2,249 | $9,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 622 | $9,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 900 | $9,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 10,020 | $9,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 700 | $9,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 7,407 | $9,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 1,166 | $9,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 830 | $9,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 8,000 | $9,000 | thousands by filing date | principal |
| EXETER RES CORP | 301835104 | COM | 28,550 | $9,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 10,000 | $9,000 | thousands by filing date | principal |
| INVENSENSE INC | 46123D205 | COM | 1,000 | $9,000 | thousands by filing date | call |
| U S GEOTHERMAL INC | 90338S102 | COM | 15,000 | $9,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 762 | $9,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 346 | $9,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T115 | RIGHT 03/01/2019 | 2,000 | $9,000 | thousands by filing date | |
| FISHER ENHANCED BIG CAP GROWTH ETN(FBG) | 90267L508 | ETF | 163 | $9,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 36,944 | $9,000 | thousands by filing date | |
| Polonia Bancorp, Inc. | 73158Q109 | Common Stock | 683 | $9,000 | thousands by filing date | |
| RIVER VY BANCORP | 768475105 | COM | 400 | $9,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 750 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 145 | $9,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 233 | $9,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 1,125 | $9,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 10,000 | $9,000 | thousands by filing date | principal |
| CERULEAN PHARMA INC | 15708Q105 | COM | 2,500 | $9,000 | thousands by filing date | |
| Proshs UltraPro Shrt QQQ | 74348A418 | Equity | 350 | $9,000 | thousands by filing date | |
| STATE NATIONAL. | 85711T305 | Common Stock | 1,008 | $9,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 486 | $9,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 495 | $8,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 4,900 | $8,000 | thousands by filing date | call |
| CYTOKINETICS INC | 23282W605 | COM NEW | 1,243 | $8,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 100 | $8,000 | thousands by filing date | put |
| TASEKO MINES LTD COM | 876511106 | Stock | 18,872 | $8,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 810 | $8,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 1,872 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 133 | $8,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 2,151 | $8,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 390 | $8,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 100 | $8,000 | thousands by filing date | put |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 411 | $8,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 333 | $8,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 323 | $8,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 2,073 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 134 | $8,000 | thousands by filing date | |
| JAMES RIV GROUP LTD | G5005R107 | COM | 298 | $8,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 1,526 | $8,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 231 | $8,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 3,235 | $8,000 | thousands by filing date | |
| LINEAR TECHNOLOGY CORP | 535678106 | COM | 200 | $8,000 | thousands by filing date | put |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 4,833 | $8,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 1,776 | $8,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 17,502 | $8,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 1,422 | $8,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 6,200 | $8,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 19,983 | $8,000 | thousands by filing date | |
| KOHLBERG CAPITAL CORP | 500233AB7 | BOND | 8,000 | $8,000 | thousands by filing date | principal |
| RAND LOGISTICS INC | 752182105 | COM | 3,988 | $8,000 | thousands by filing date | |
| CHINA SUNERGY CO LTD | 16942X302 | SPONSORED ADR NE | 6,999 | $8,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 4,170 | $8,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 429 | $8,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 555 | $8,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 2,059 | $8,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 15,507 | $8,000 | thousands by filing date | |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 10,000 | $8,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 5,244 | $8,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 4,500 | $8,000 | thousands by filing date | |
| ROKA BIOSCIENCE INC | 775431109 | COM | 4,020 | $8,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 5,400 | $8,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R312 | MORNSTAR INTL | 300 | $8,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 103 | $7,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 119 | $7,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 294 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 100 | $7,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 3,100 | $7,000 | thousands by filing date | put |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 1,500 | $7,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 4,078 | $7,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 500 | $7,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 1,659 | $7,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 100 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R750 | ULTRA CONS DISCR | 70 | $7,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 100 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R768 | ULTRA CONSU STAP | 75 | $7,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 600 | $7,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 9,265 | $7,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 219 | $7,000 | thousands by filing date | |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 407 | $7,000 | thousands by filing date | |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 1,128 | $7,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 4,322 | $7,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 8,867 | $7,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 4,000 | $7,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 7,100 | $7,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 5,944 | $7,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 5,150 | $7,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 7,000 | $7,000 | thousands by filing date | principal |
| Southcoast Financial Corporation | 84129R100 | Common Stock | 527 | $7,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233107 | COM | 5,000 | $7,000 | thousands by filing date | |
| JOURNAL MEDIA GROUP INC | 48114A109 | COM | 969 | $7,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 7,000 | $7,000 | thousands by filing date | principal |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 381 | $7,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 1,837 | $7,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 297 | $7,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 2,700 | $7,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 34,091 | $7,000 | thousands by filing date | |
| Sierra Oncology, Inc. | 74346L101 | common | 325 | $7,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 406 | $6,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 1,712 | $6,000 | thousands by filing date | |
| ISHARES TR | 46434V282 | U S EQUITY FACTR | 265 | $6,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 200 | $6,000 | thousands by filing date | put |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 435 | $6,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 2,000 | $6,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 500 | $6,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 649 | $6,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 200 | $6,000 | thousands by filing date | put |
| WILLIAMS PARTNERS L P NEW | 96949L105 | COM UNIT LTD PAR | 200 | $6,000 | thousands by filing date | put |
| NEVRO CORP | 64157F103 | COM | 126 | $6,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 1,146 | $6,000 | thousands by filing date | |
| Northeast Community Bancorp Inc | 664112109 | COM | 800 | $6,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 220 | $6,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 1,072 | $6,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 776 | $6,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 9,050 | $6,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 774 | $6,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 327 | $6,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 1,000 | $6,000 | thousands by filing date | put |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 1,385 | $6,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 1,474 | $6,000 | thousands by filing date | |
| LPATH INC-CLASS A | 548910306 | CMN | 29,730 | $6,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 1,000 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 500 | $6,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 5,000 | $6,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B720 | KBW INS PORT | 92 | $6,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 22,223 | $6,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 250 | $6,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 1,200 | $6,000 | thousands by filing date | |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 5,000 | $6,000 | thousands by filing date | principal |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 736 | $6,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 533 | $6,000 | thousands by filing date | |
| POWERSHARES ETF TR II EURO CUR HDG | 73937B514 | ETF | 265 | $6,000 | thousands by filing date | |
| NXT ID INC COM | 67091J107 | Stock | 5,825 | $6,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R400 | COM | 1,752 | $6,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 107 | $5,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 3,621 | $5,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 2,500 | $5,000 | thousands by filing date | call |
| TRUPANION INC | 898202106 | COM | 699 | $5,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 201 | $5,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 75 | $5,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 262 | $5,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 301 | $5,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 500 | $5,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 850 | $5,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 507 | $5,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 200 | $5,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 222 | $5,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 4,000 | $5,000 | thousands by filing date | principal |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 542 | $5,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 2,388 | $5,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 982 | $5,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 1,226 | $5,000 | thousands by filing date | |
| UTS GULF COAST ULTRA DEEP | 40222T104 | COMMON STK | 17,127 | $5,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 6,000 | $5,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 169 | $5,000 | thousands by filing date | |
| LAKE SHORE GOLD CORP | 510728108 | COM | 6,075 | $5,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 2,500 | $5,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 4,387 | $5,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 1,000 | $5,000 | thousands by filing date | put |
| XENOPORT INC | 98411C100 | COM | 1,328 | $5,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 1,105 | $5,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 265 | $5,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 3,075 | $5,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 4,500 | $5,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 2,280 | $5,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 9,000 | $5,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 11,944 | $5,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 376 | $5,000 | thousands by filing date | |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 10,273 | $5,000 | thousands by filing date | |
| BROOKFIELD CANADA OFFICE PRO | 112823109 | TR U | 248 | $5,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 327 | $5,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 189 | $5,000 | thousands by filing date | |
| CENTRAL GOLDTRUST | 153546106 | TR U | 125 | $5,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 228 | $5,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 400 | $5,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 239 | $5,000 | thousands by filing date | |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 500 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 200 | $5,000 | thousands by filing date | |
| CROSSROADS SYS INC | 22765d209 | COM NEW | 3,550 | $5,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 2,020 | $5,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 809 | $5,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 180 | $5,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909AH1 | NOTE 2.750% 4/0 | 5,000 | $5,000 | thousands by filing date | principal |
| MATTERSIGHT CORP | 577097108 | COM | 660 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 116 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 494 | $5,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 242 | $5,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 131 | $5,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 5,000 | $5,000 | thousands by filing date | principal |
| GIGA TRONICS INC | 375175106 | COM | 5,000 | $5,000 | thousands by filing date | |
| DS HEALTHCARE GROUP INC | 23336Q109 | COM | 1,920 | $5,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 5,000 | $5,000 | thousands by filing date | principal |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 302 | $5,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 4,000 | $5,000 | thousands by filing date | principal |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 5,000 | $5,000 | thousands by filing date | principal |
| JETPAY CORP | 477177109 | COM | 1,732 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X335 | SOLACTIVE UK ETF | 100 | $5,000 | thousands by filing date | |
| Pacific Datavision Inc | 694171307 | COM | 155 | $5,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 3,641 | $5,000 | thousands by filing date | |
| HANSEN MEDICAL INC COM NEW | 411307200 | Stock | 1,420 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 236 | $5,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B613 | CONTRARIAN OPP | 200 | $5,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q304 | COM NEW | 4,380 | $5,000 | thousands by filing date | |
| CNOVA ORD | N20947102 | COM | 1,750 | $5,000 | thousands by filing date | |
| CELATOR PHARMACEUTICALS INC | 15089R102 | Cmn | 3,225 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K844 | BRZ BL 3X SHS NW | 350 | $5,000 | thousands by filing date | |
| VIGGLE INC | 92672V204 | COM NEW | 6,500 | $5,000 | thousands by filing date | |
| BDCA VENTURE INC | 05543L106 | COM | 1,028 | $5,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 100 | $4,000 | thousands by filing date | put |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 2,550 | $4,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 14,040 | $4,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 156 | $4,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 1,026 | $4,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 191 | $4,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 185 | $4,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 237 | $4,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 1,000 | $4,000 | thousands by filing date | put |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 420 | $4,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 371 | $4,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 547 | $4,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 875 | $4,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 359 | $4,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 87 | $4,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 200 | $4,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 560 | $4,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 63 | $4,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 1,000 | $4,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 209 | $4,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 407 | $4,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 427 | $4,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 181 | $4,000 | thousands by filing date | |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 1,635 | $4,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 1,000 | $4,000 | thousands by filing date | put |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 1,000 | $4,000 | thousands by filing date | call |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 5,988 | $4,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 36,496 | $4,000 | thousands by filing date | principal |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 2,200 | $4,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 307 | $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 | |
| GREAT PANTHER MINING | 39115V101 | COM | 11,000 | $4,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 3,200 | $4,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 2,000 | $4,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 1,500 | $4,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 2,500 | $4,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 11,098 | $4,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 116 | $4,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 13,300 | $4,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 10,618 | $4,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 24,578 | $4,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 4,350 | $4,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 1,193 | $4,000 | thousands by filing date | |
| PULASKI FINANCIAL CORP | 745548107 | COM | 320 | $4,000 | thousands by filing date | |
| GIGOPTIX INC | 37517y103 | COM | 2,500 | $4,000 | thousands by filing date | |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 375 | $4,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 2,000 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y488 | DLY SC BEAR3XNEW | 300 | $4,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 576 | $4,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461464 | EGSHS EMKTSCOR | 250 | $4,000 | thousands by filing date | |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 35 | $4,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 782 | $4,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 1,000 | $4,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 249 | $4,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 240 | $4,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 2,190 | $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 | 6,800 | $4,000 | thousands by filing date | |
| WESTMORELAND RESOURCE PARTNE COM UNIT RP LP | 96108P103 | Stock | 506 | $4,000 | thousands by filing date | |
| CINEDIGM CORP COM | 172406100 | COM | 7,500 | $4,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 4,000 | $4,000 | thousands by filing date | principal |
| Neothetics Inc | 64066G101 | COM | 500 | $4,000 | thousands by filing date | |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 23,582 | $4,000 | thousands by filing date | |
| TOBIRA THERAPEUTICS INC COM | 88883P101 | COM | 365 | $4,000 | thousands by filing date | |
| ABENGOA SA | 00289R201 | SPONS ADR REP B | 835 | $4,000 | thousands by filing date | |
| CHC GROUP LTD | G07021101 | SHS | 6,000 | $4,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 100 | $3,000 | thousands by filing date | put |
| HERCULES CAPITAL INC | 427096508 | COM | 300 | $3,000 | thousands by filing date | call |
| CRA INTL INC | 12618T105 | COM | 144 | $3,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 151 | $3,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 186 | $3,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 445 | $3,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 33 | $3,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 65 | $3,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 183 | $3,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 1,313 | $3,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 800 | $3,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 100 | $3,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 200 | $3,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 65 | $3,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 159 | $3,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 1,250 | $3,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 386 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 42 | $3,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 222 | $3,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 140 | $3,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 102 | $3,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 100 | $3,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 1,200 | $3,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 251 | $3,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 330 | $3,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 3,512 | $3,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 668 | $3,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 2,070 | $3,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 1,443 | $3,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 420 | $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 |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 208 | $3,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 12,600 | $3,000 | thousands by filing date | put |
| ORAGENICS INC | 684023203 | COM NEW | 1,750 | $3,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 5,800 | $3,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 2,565 | $3,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 4,000 | $3,000 | thousands by filing date | put |
| INTEROIL CORP | 460951106 | COM | 100 | $3,000 | thousands by filing date | put |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 1,244 | $3,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 1,354 | $3,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 782 | $3,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 22,000 | $3,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 22,000 | $3,000 | thousands by filing date | put |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 400 | $3,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $3,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 5,856 | $3,000 | thousands by filing date | |
| HOOPER HOLMES INC | 439104100 | COM | 27,778 | $3,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 127 | $3,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 123 | $3,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 9,058 | $3,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 18,314 | $3,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 1,145 | $3,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 3,000 | $3,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 500 | $3,000 | thousands by filing date | |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 440 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y447 | DLYFINBEAR3X NEW | 200 | $3,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 525 | $3,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AME | 03814F205 | COM NEW | 3,000 | $3,000 | thousands by filing date | |
| TIGERLOGIC CORPORATION | 8867EQ101 | COM | 16,182 | $3,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 2,694 | $3,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 460 | $3,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 307 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 50 | $3,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 217 | $3,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 3,000 | $3,000 | thousands by filing date | principal |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 1,000 | $3,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 270 | $3,000 | thousands by filing date | |
| ARCH COAL INC | 039380308 | Common Stock | 1,000 | $3,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E176 | GURU INTL IDX | 281 | $3,000 | thousands by filing date | |
| SUTOR TECH GROUP LTD | 869362202 | Cmn | 2,000 | $3,000 | thousands by filing date | |
| OCATA THERAPEUTICS INC | 67457L100 | COM | 676 | $3,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 100 | $2,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 100 | $2,000 | thousands by filing date | call |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 250 | $2,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 371 | $2,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 218 | $2,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 166 | $2,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 489 | $2,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 82 | $2,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 367 | $2,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 1,600 | $2,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 200 | $2,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 37 | $2,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 1,000 | $2,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 3,000 | $2,000 | thousands by filing date | principal |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 337 | $2,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 226 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 163 | $2,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 560 | $2,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 200 | $2,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 1,620 | $2,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 60 | $2,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 2,599 | $2,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 304 | $2,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 130 | $2,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 6,000 | $2,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 591 | $2,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 1,000 | $2,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 1,470 | $2,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 132 | $2,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 9,782 | $2,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 188 | $2,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOU | L7257P106 | REG SHS | 1,703 | $2,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 473 | $2,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 2,473 | $2,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 254 | $2,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 700 | $2,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 389 | $2,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 3,000 | $2,000 | thousands by filing date | call |
| INTRALINKS HLDGS INC | 46118H104 | COM | 299 | $2,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 355 | $2,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 213 | $2,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 1,000 | $2,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 1,260 | $2,000 | thousands by filing date | |
| DOT HILL SYS CORP | 25848T109 | COM | 222 | $2,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 259 | $2,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 700 | $2,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 1,000 | $2,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 864 | $2,000 | thousands by filing date |
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 |