Quarterly report pursuant to sections 13 or 15(d)

Securities Owned and Securities Sold, But Not Yet Purchased (Tables)

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Securities Owned and Securities Sold, But Not Yet Purchased (Tables)
 9 Months Ended
Sep. 30, 2012
Securities Carried at Fair value

The components of securities owned and securities sold, but not yet purchased, at fair value at September 30, 2012 and December 31, 2011 were as follows:

   

Securities

owned

    

Securities sold,

but not yet purchased

  
September 30, 2012                
Common stock and warrants   $ 177     $ 87  
Restricted common stock and warrants     955       —  
Total   $ 1,132     $ 87  
                 
December 31, 2011                
Common stock and warrants   $ 191     $ 78  
Restricted common stock and warrants     1,823       —  
Total   $ 2,014     $ 78  
Equity Securities
  
Securities Carried at Fair value

Securities are carried at fair value and classified as follows:

 

As of September 30, 2012:

 

Securities owned, at fair value   Level 1     Level 2     Level 3     Total  
Common stock and warrants   $ 177     $ 955     $ —     $ 1,132  
Total   $ 177   $ 955     $ —     $ 1,132  

 

Securities sold, but not yet purchased, at fair value   Level 1     Level 2     Level 3     Total  
Common stock and warrants   $ 76     $ 11     $ —     $ 87  
Total   $ 76     $ 11   $ —     $ 87  

 

As of December 31, 2011:

 

Securities owned, at fair value   Level 1     Level 2     Level 3     Total  
Common stock and warrants   $ 191     $ 1,823     $ —     $ 2,014  
Total   $ 191     $ 1,823     $ —     $ 2,014  

 

Securities sold, but not yet purchased, at fair value   Level 1     Level 2     Level 3     Total  
Common stock and warrants   $ 68     $ 10     $ —     $ 78  
Total   $ 68     $ 10     $ —     $ 78