Quarterly report pursuant to sections 13 or 15(d)

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

v2.4.0.8
Securities Owned and Securities Sold, But Not Yet Purchased (Tables)
 6 Months Ended
Jun. 30, 2013
Security Owned and Sold, Not yet Purchased, at Fair Value [Line Items]  
Securities Carried at Fair value
The components of securities owned and securities sold, but not yet purchased at June 30, 2013 and December 31, 2012 were as follows:
 
 
Securities Owned   
 
Securities Sold,
But Not Yet Purchased
June 30, 2013
 
 
 
 
Certificates of deposit
 
$
16

 
$
—

Debt securities
 
3,242

 
(2,406
)
U.S. Treasury notes
 
95

 
—

Common stock and warrants
 
3,202

 
(2,213
)
Restricted common stock and warrants
 
365

 
—

Total
 
$
6,920

 
$
(4,619
)
 
 
 
 
 
December 31, 2012
 
 
 
 
Certificates of deposit
 
$
14

 
$
—

Debt securities
 
1,098

 
(123
)
U.S. Treasury notes
 
—

 
(99
)
Common stock and warrants
 
384

 
(70
)
Restricted common stock and warrants
 
582

 
—

Total
 
$
2,078

 
$
(292
)
Equity Securities
  
Security Owned and Sold, Not yet Purchased, at Fair Value [Line Items]  
Securities Carried at Fair value
Securities are carried at fair value and classified as follows:

    


As of June 30, 2013:
Securities owned, at fair value
 
   Level 1
 
   Level 2
 
   Level 3
 
   Total
Debt securities
 
$
—

 
$
3,242

 
$
—

 
$
3,242

Certificates of deposit
 
16

 
—

 
—

 
16

U.S. Treasury notes
 
—

 
95

 
—

 
95

Common stock and warrants
 
3,202

 
365

 
—

 
3,567

Total
 
$
3,218

 
$
3,702

 
$
—

 
$
6,920


Securities sold, but not yet purchased, at fair value
 
   Level 1
 
   Level 2
 
   Level 3
 
   Total
Debt securities
 
$
—

 
$
(2,406
)
 
$
—

 
$
(2,406
)
U.S. Treasury notes
 
—

 
—

 
—

 
—

Common stock and warrants
 
(2,213
)
 
—

 
—

 
(2,213
)
Total
 
$
(2,213
)
 
$
(2,406
)
 
$
—

 
$
(4,619
)

As of December 31, 2012:
Securities owned, at fair value
 
   Level 1
 
   Level 2
 
   Level 3
 
   Total
Debt securities
 
$
—

 
$
1,098

 
$
—

 
$
1,098

Certificates of deposit
 
14

 
—

 
—

 
14

Common stock and warrants
 
384

 
582

 
—

 
966

Total
 
$
398

 
$
1,680

 
$
—

 
$
2,078


Securities sold, but not yet purchased, at fair value
 
   Level 1
 
   Level 2
 
   Level 3
 
   Total
Debt securities
 
$
—

 
$
123

 
$
—

 
$
123

U.S. Treasury notes
 
—

 
99

 
—

 
99

Common stock and warrants
 
70

 
—

 
—

 
70

Total
 
$
70

 
$
222

 
$
—

 
$
292