13F-HR/A filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR/A for the quarter ended 2015-06-30, filed 2015-11-20, with 7,376 holding rows worth $307,086,147,000.
- Accession
- 0001140361-15-042477
- Filer
- CIK 70858
- Filed
- 2015-11-20
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2015
A combination report, amendment of type restatement, 15,926 entries on the cover page, a total value of $307,086,147,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $307,086,147,000 with VALUE read as thousands by filing date, 13F file number 028-00158. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerMANAGED ACCOUNT ADVISORS LLC028-12631
- included managerBANK OF AMERICA NA028-10264
- included managerMERRILL LYNCH, PIERCE, FENNER & SMITH INC.028-00962
- included managerMERRILL LYNCH CANADA INC028-14408
- included managerMERRILL LYNCH INTERNATIONAL028-07178
- included managerMERRILL LYNCH PROFESSIONAL CLEARING CORP028-11545
- included managerMERRILL LYNCH GROUP, INC.028-12505
- included managerBlue Ridge Investments, L.L.C.028-16009
- included managerEQUITY FINANCE DELAWARE, LLC028-16012
- included managerU.S. TRUST Co OF DELAWARE028-10270
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| NEW YORK & CO INC | 649295102 | COM | 4,711 | $13,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 1,315 | $13,000 | thousands by filing date | |
| MEDIVATION INC | 58501NAA9 | NOTE | 6,000 | $13,000 | thousands by filing date | principal |
| CYTRX CORP | 232828509 | COM PAR $.001 | 3,467 | $13,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 6,002 | $13,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 7,000 | $13,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 13,000 | $13,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 2,000 | $13,000 | thousands by filing date | principal |
| UNITED STATES STL CORP NEW | 912909AH1 | NOTE 2.750% 4/0 | 11,000 | $13,000 | thousands by filing date | principal |
| CHINA SUNERGY CO LTD | 16942X302 | SPONSORED ADR NE | 6,999 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 1,047 | $13,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 300 | $13,000 | thousands by filing date | |
| DOMINION RES BLACK WARRIOR T | 25746Q108 | UNITS BEN INT | 3,785 | $13,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 14,000 | $13,000 | thousands by filing date | principal |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 700 | $13,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 1,125 | $13,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 2,515 | $13,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 7,365 | $13,000 | thousands by filing date | |
| VIGGLE INC | 92672V204 | COM NEW | 6,500 | $13,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 995 | $12,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 400 | $12,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 1,603 | $12,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 400 | $12,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 2,415 | $12,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,648 | $12,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 588 | $12,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 1,867 | $12,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,548 | $12,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 3,020 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 261 | $12,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 1,000 | $12,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 796 | $12,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 3,721 | $12,000 | thousands by filing date | |
| UTS GULF COAST ULTRA DEEP | 40222T104 | COMMON STK | 16,919 | $12,000 | thousands by filing date | |
| COMCAST CORP NEW | 20030N200 | CL A SPL | 200 | $12,000 | thousands by filing date | put |
| XOMA CORP DEL | 98419J107 | COM | 3,000 | $12,000 | thousands by filing date | call |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 478 | $12,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 10,000 | $12,000 | thousands by filing date | principal |
| INCYTE CORP | 45337CAJ1 | NOTE 4.750%10/0 | 1,000 | $12,000 | thousands by filing date | principal |
| ONEIDA FINL CORP MD | 682479100 | COM | 600 | $12,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 486 | $12,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 10,000 | $12,000 | thousands by filing date | principal |
| FQF TR | 351680103 | QUANTSHARE MOM | 500 | $12,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 1,011 | $12,000 | thousands by filing date | |
| Regeneron Pharmaceuticals, In | 75886FAD9 | CONV | 2,000 | $12,000 | thousands by filing date | principal |
| FQF TR | 351680400 | QUANTSHARE SIZ | 500 | $12,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 709 | $12,000 | thousands by filing date | |
| ARROW INVTS TR | 042765784 | QVM EQT FACTOR | 480 | $12,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R361 | Cmn | 250 | $12,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 1,091 | $11,000 | thousands by filing date | |
| SERVISFIRST BANCSHARES INC | 81768T108 | COM | 300 | $11,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 600 | $11,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 758 | $11,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 1,501 | $11,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 500 | $11,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 2,006 | $11,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 467 | $11,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 2,134 | $11,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 1,440 | $11,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 12,600 | $11,000 | thousands by filing date | put |
| BSB BANCORP INC MD | 05573H108 | COM | 503 | $11,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 1,519 | $11,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 11,000 | $11,000 | thousands by filing date | principal |
| LAM RESEARCH CORP 0.500 | 512807AJ7 | NOTE 0.500% 5/1 | 8,000 | $11,000 | thousands by filing date | principal |
| PARKERVISION INC | 701354102 | COM | 29,597 | $11,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 2,578 | $11,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 395 | $11,000 | thousands by filing date | |
| BALTIC TRADING LTD | Y0553W103 | COM | 6,705 | $11,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 1,600 | $11,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 383 | $11,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 18,323 | $11,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 5,150 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E317 | GLBLX CEN ASIA | 970 | $11,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,049 | $11,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 2,500 | $11,000 | thousands by filing date | |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 1,047 | $11,000 | thousands by filing date | |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 10,000 | $11,000 | thousands by filing date | principal |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 38,373 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B680 | S&P MDCP 400 DIV | 263 | $10,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 376 | $10,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 131 | $10,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 638 | $10,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 703 | $10,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 709 | $10,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 615 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 275 | $10,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 201 | $10,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 8,948 | $10,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 1,095 | $10,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 4,859 | $10,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 469 | $10,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 1,000 | $10,000 | thousands by filing date | call |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 11,000 | $10,000 | thousands by filing date | principal |
| PHARMATHENE INC | 71714G102 | COM | 5,400 | $10,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 781 | $10,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 2,506 | $10,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 1,298 | $10,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 940 | $10,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 2,087 | $10,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 1,424 | $10,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 576 | $10,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 2,206 | $10,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 68 | $10,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 1,015 | $10,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 504 | $10,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 241 | $10,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 808 | $10,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 22,223 | $10,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 677 | $10,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 452 | $10,000 | thousands by filing date | |
| TRAVELPORT WORLDWIDE LTD | G9019D104 | SHS | 737 | $10,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 1,200 | $10,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 272 | $10,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 2,206 | $10,000 | thousands by filing date | |
| OI SA SPONSORED ADR CMN | 670851302 | COM | 4,863 | $10,000 | thousands by filing date | |
| UBS AG | 90270KAW9 | NOTE 2/1 | 11,000 | $10,000 | thousands by filing date | principal |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 4,500 | $10,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 100 | $9,000 | thousands by filing date | put |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 103 | $9,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 1,089 | $9,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 3,100 | $9,000 | thousands by filing date | put |
| VMWARE, INC. | 928563402 | CL A COM | 100 | $9,000 | thousands by filing date | put |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 623 | $9,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 144 | $9,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 250 | $9,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 603 | $9,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 295 | $9,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 176 | $9,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 9,000 | $9,000 | thousands by filing date | principal |
| GREAT PANTHER MINING | 39115V101 | COM | 20,000 | $9,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 2,249 | $9,000 | thousands by filing date | |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 1,282 | $9,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 521 | $9,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 716 | $9,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 2,025 | $9,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 16,299 | $9,000 | thousands by filing date | |
| INTERPHASE CORP | 460593106 | COM | 11,482 | $9,000 | thousands by filing date | |
| INTEGRATED ELECTRICAL SERVIC | 45811E301 | COM | 1,312 | $9,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 413 | $9,000 | thousands by filing date | |
| FISHER ENHANCED BIG CAP GROWTH ETN(FBG) | 90267L508 | ETF | 163 | $9,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 179 | $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 | |
| GIGA TRONICS INC | 375175106 | COM | 5,000 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 500 | $9,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 200 | $9,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 5,399 | $9,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 572 | $9,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 447 | $9,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 673 | $9,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 381 | $9,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 490 | $9,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 3,936 | $9,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 154 | $8,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 584 | $8,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 1,000 | $8,000 | thousands by filing date | call |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 145 | $8,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 900 | $8,000 | thousands by filing date | |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 389 | $8,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 3,017 | $8,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 550 | $8,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 100 | $8,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 1,561 | $8,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 733 | $8,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 120 | $8,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 317 | $8,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 6,000 | $8,000 | thousands by filing date | principal |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 2,448 | $8,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 15,800 | $8,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 1,276 | $8,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 744 | $8,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 415 | $8,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 15,000 | $8,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 9,050 | $8,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 4,000 | $8,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 1,514 | $8,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 775 | $8,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 1,000 | $8,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 907 | $8,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 457 | $8,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 1,609 | $8,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 200 | $8,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T115 | RIGHT 03/01/2019 | 2,000 | $8,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 9,000 | $8,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 116 | $8,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F104 | COM | 21,893 | $8,000 | thousands by filing date | |
| LPATH INC-CLASS A | 548910306 | CMN | 30,395 | $8,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233107 | COM | 5,000 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 145 | $8,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 981 | $8,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 573 | $8,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 500 | $8,000 | thousands by filing date | |
| HOMEAWAY INC | 43739QAB6 | NOTE 0.125 4/0 | 8,000 | $8,000 | thousands by filing date | principal |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 322 | $8,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 3,244 | $8,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q304 | COM NEW | 4,598 | $8,000 | thousands by filing date | |
| TOBIRA THERAPEUTICS INC COM | 88883P101 | COM | 436 | $8,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y644 | Cmn | 352 | $8,000 | thousands by filing date | |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 2,536 | $8,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 20,692 | $7,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 240 | $7,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 139 | $7,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 1,315 | $7,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 500 | $7,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 1,000 | $7,000 | thousands by filing date | put |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 259 | $7,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 472 | $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 | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 177 | $7,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 2,500 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R768 | ULTRA CONSU STAP | 75 | $7,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 7,000 | $7,000 | thousands by filing date | principal |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 2,748 | $7,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 1,700 | $7,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 4,000 | $7,000 | thousands by filing date | principal |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 5,538 | $7,000 | thousands by filing date | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 411 | $7,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 41,754 | $7,000 | thousands by filing date | principal |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 464 | $7,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 681 | $7,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 2,100 | $7,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 3,200 | $7,000 | thousands by filing date | |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 2,049 | $7,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 2,748 | $7,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 123 | $7,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 8,333 | $7,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 392 | $7,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 600 | $7,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 3,498 | $7,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 1,420 | $7,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 200 | $7,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 1,000 | $7,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 3,000 | $7,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06738G407 | ETN DJUBS IND MT | 300 | $7,000 | thousands by filing date | |
| TIGERLOGIC CORPORATION | 8867EQ101 | COM | 19,470 | $7,000 | thousands by filing date | |
| VALLEY FINL CORP VA | 919629105 | COM | 314 | $7,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B852 | S&P SMCP MAT P | 189 | $7,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y743 | ADV GLBALPBETA | 221 | $7,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 800 | $7,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 2,693 | $7,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 316 | $7,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 572 | $7,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 6,000 | $7,000 | thousands by filing date | principal |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 355 | $7,000 | thousands by filing date | |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 5,900 | $7,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 258 | $7,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164AB0 | NOTE 2.750%12/0 | 7,000 | $7,000 | thousands by filing date | principal |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 363 | $6,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 170 | $6,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 100 | $6,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 3,172 | $6,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 371 | $6,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 2,500 | $6,000 | thousands by filing date | call |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 1,071 | $6,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 312 | $6,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 2,000 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 243 | $6,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 875 | $6,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 252 | $6,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 1,000 | $6,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 408 | $6,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 6,000 | $6,000 | thousands by filing date | principal |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 249 | $6,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 1,000 | $6,000 | thousands by filing date | put |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 1,000 | $6,000 | thousands by filing date | call |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 2,200 | $6,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 1,000 | $6,000 | thousands by filing date | call |
| Northeast Community Bancorp Inc | 664112109 | COM | 800 | $6,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 419 | $6,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 1,000 | $6,000 | thousands by filing date | put |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 9,049 | $6,000 | thousands by filing date | |
| INTEROIL CORP | 460951106 | COM | 100 | $6,000 | thousands by filing date | put |
| NTELOS HLDGS CORP | 67020Q305 | COM NEW | 1,191 | $6,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 3,134 | $6,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 10,598 | $6,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 4,384 | $6,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 4,488 | $6,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 173 | $6,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 726 | $6,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 400 | $6,000 | thousands by filing date | |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 500 | $6,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 774 | $6,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 180 | $6,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 599 | $6,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 3,000 | $6,000 | thousands by filing date | principal |
| Timmins Gold Corp | 88741P103 | COM | 10,091 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 242 | $6,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 5,000 | $6,000 | thousands by filing date | principal |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 5,000 | $6,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 619 | $6,000 | thousands by filing date | |
| CINEDIGM CORP COM | 172406100 | COM | 9,198 | $6,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X335 | SOLACTIVE UK ETF | 100 | $6,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 5,000 | $6,000 | thousands by filing date | principal |
| Emerald Oil Inc | 29101U407 | Common Stock | 1,366 | $6,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 636 | $6,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 1,000 | $6,000 | thousands by filing date | |
| VITAE PHARMACEUTICALS INC | 92847N103 | COM | 431 | $6,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R400 | COM | 1,752 | $6,000 | thousands by filing date | |
| CHC GROUP LTD | G07021101 | SHS | 6,495 | $6,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461365 | BLUE CHIP ETF | 322 | $6,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 2,689 | $5,000 | thousands by filing date | |
| NATIONAL STORAGE AFFILIATES TR COM SHS BEN IN | 637870106 | REIT | 402 | $5,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 444 | $5,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 1,148 | $5,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 360 | $5,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 280 | $5,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 237 | $5,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 2,112 | $5,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 420 | $5,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 336 | $5,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 277 | $5,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 190 | $5,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 223 | $5,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 447 | $5,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 200 | $5,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 101 | $5,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 4,000 | $5,000 | thousands by filing date | principal |
| BIOLASE INC | 090911108 | COMMON STOCK | 2,599 | $5,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 438 | $5,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 372 | $5,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 1,437 | $5,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 312 | $5,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 163 | $5,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 300 | $5,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 606 | $5,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 5,000 | $5,000 | thousands by filing date | principal |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 251 | $5,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOU | L7257P106 | REG SHS | 1,703 | $5,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 5,000 | $5,000 | thousands by filing date | principal |
| RICHMONT MINES INC | 76547T106 | COM | 1,500 | $5,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 2,194 | $5,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 2,837 | $5,000 | thousands by filing date | |
| AUDIENCE INC | 05070J102 | COM | 1,069 | $5,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 447 | $5,000 | thousands by filing date | |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 10,273 | $5,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 5,000 | $5,000 | thousands by filing date | principal |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 4,152 | $5,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 5,856 | $5,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 727 | $5,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 1,193 | $5,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 18,500 | $5,000 | thousands by filing date | |
| CROSSROADS SYS INC | 22765d209 | COM NEW | 3,550 | $5,000 | thousands by filing date | |
| GIGOPTIX INC | 37517y103 | COM | 2,935 | $5,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 1,145 | $5,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 2,218 | $5,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 525 | $5,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AME | 03814F205 | COM NEW | 3,000 | $5,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 2,694 | $5,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 1,000 | $5,000 | thousands by filing date | |
| USMD HLDGS INC | 903313104 | COM | 604 | $5,000 | thousands by filing date | |
| DS HEALTHCARE GROUP INC | 23336Q109 | COM | 1,920 | $5,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 6,000 | $5,000 | thousands by filing date | principal |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 460 | $5,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 210 | $5,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 4,000 | $5,000 | thousands by filing date | principal |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 4,000 | $5,000 | thousands by filing date | principal |
| WESTMORELAND RESOURCE PARTNE COM UNIT RP LP | 96108P103 | Stock | 506 | $5,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 1,727 | $5,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 1,732 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 74 | $5,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 506 | $5,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 210 | $5,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 472 | $5,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 217 | $5,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 366 | $5,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B613 | CONTRARIAN OPP | 200 | $5,000 | thousands by filing date | |
| SUTOR TECH GROUP LTD | 869362202 | Cmn | 2,000 | $5,000 | thousands by filing date | |
| CODE REBEL CORP | 19200J106 | COM | 150 | $5,000 | thousands by filing date | |
| BDCA VENTURE INC | 05543L106 | COM | 1,028 | $5,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 262 | $4,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 119 | $4,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 7,225 | $4,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 96 | $4,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 938 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 42 | $4,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 440 | $4,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 75 | $4,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 506 | $4,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 99 | $4,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 172 | $4,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 156 | $4,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 166 | $4,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 370 | $4,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 800 | $4,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 103 | $4,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 100 | $4,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 146 | $4,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 7,000 | $4,000 | thousands by filing date | principal |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 87 | $4,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 63 | $4,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 140 | $4,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 523 | $4,000 | thousands by filing date | |
| JAMES RIV GROUP LTD | G5005R107 | COM | 144 | $4,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 222 | $4,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 100 | $4,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 184 | $4,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 4,000 | $4,000 | thousands by filing date | principal |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 738 | $4,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 1,000 | $4,000 | thousands by filing date | put |
| ZION OIL & GAS INC | 989696109 | COM | 2,106 | $4,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 907 | $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 | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 240 | $4,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 200 | $4,000 | thousands by filing date | |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 17,764 | $4,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 10,500 | $4,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 673 | $4,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 807 | $4,000 | thousands by filing date | |
| CHIPMOS TECH BERMUDA LTD | G2110R114 | SHS | 201 | $4,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 2,808 | $4,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 6,000 | $4,000 | thousands by filing date | principal |
| MCCLATCHY CO | 579489105 | CL A | 3,326 | $4,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 2,000 | $4,000 | thousands by filing date | call |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 100 | $4,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 1,364 | $4,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 386 | $4,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 4,000 | $4,000 | thousands by filing date | principal |
| PULASKI FINANCIAL CORP | 745548107 | COM | 320 | $4,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 456 | $4,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 2,051 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 200 | $4,000 | thousands by filing date | |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 375 | $4,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 1,022 | $4,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 2,000 | $4,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 146 | $4,000 | thousands by filing date | |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 35 | $4,000 | thousands by filing date | |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 439 | $4,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 1,000 | $4,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 11,429 | $4,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 204 | $4,000 | thousands by filing date | |
| Southcoast Financial Corporation | 84129R100 | Common Stock | 527 | $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 | |
| MARKET VECTORS ETF TR | 57060U779 | GULF STS ETF | 160 | $4,000 | thousands by filing date | |
| TAOMEE HLDGS LTD | 87600Y106 | SPONSORED ADR | 1,100 | $4,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q114 | *W EXP 05/09/201 | 2,158 | $4,000 | thousands by filing date | |
| CHIPOTLE MEXICAN GRILL INC | 73937B738 | COM | 74 | $4,000 | thousands by filing date | |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 2,794 | $4,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 6,800 | $4,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 1,376 | $4,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 213 | $4,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 675 | $4,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 3,342 | $4,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 732 | $4,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 600 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E176 | GURU INTL IDX | 281 | $4,000 | thousands by filing date | |
| OCATA THERAPEUTICS INC | 67457L100 | COM | 705 | $4,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 146 | $3,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 876 | $3,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 80 | $3,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 1,544 | $3,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 274 | $3,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 242 | $3,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 184 | $3,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 247 | $3,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 520 | $3,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 1,600 | $3,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 169 | $3,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 37 | $3,000 | thousands by filing date | |
| PARAGON OFFSHORE PLC XXX | G6S01W108 | COM | 3,000 | $3,000 | thousands by filing date | call |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 568 | $3,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 500 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 42 | $3,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 507 | $3,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 79 | $3,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 319 | $3,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 2,000 | $3,000 | thousands by filing date | call |
| POZEN INC | 73941U102 | COMMON STOCK | 337 | $3,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 3,072 | $3,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 597 | $3,000 | thousands by filing date | |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 1,459 | $3,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 1,107 | $3,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 100 | $3,000 | thousands by filing date | put |
| ATENTO S A | L0427L105 | SHS | 184 | $3,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 193 | $3,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 142 | $3,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 1,500 | $3,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 9,782 | $3,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 2,296 | $3,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 349 | $3,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 2,050 | $3,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 1,823 | $3,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 460 | $3,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 1,336 | $3,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 1,005 | $3,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 150 | $3,000 | thousands by filing date | |
| HEALTH CARE REIT INC | 42217KAR7 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 7,100 | $3,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 2,541 | $3,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 257 | $3,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $3,000 | thousands by filing date | |
| CEMENTOS PACASMAYO SAA - ADR | 15126Q109 | SPON | 400 | $3,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 728 | $3,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 451 | $3,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 2,000 | $3,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 9,058 | $3,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 2,200 | $3,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 1,400 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-15-032042 | superseded | 2015-08-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001140361-15-042477 | this filing | 2015-11-20 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001140361-15-042479 | added | 2015-11-20 | acceptance time not in the bulk data set |