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)
 9 Months Ended
Sep. 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 September 30, 2013 and December 31, 2012 were as follows:
 
 
Securities Owned   
 
Securities Sold,
But Not Yet Purchased
September 30, 2013
 
 
 
 
Debt securities
 
$
1,666

 
$
(15
)
U.S. Treasury notes
 
5

 
(198
)
Common stock and warrants
 
1,555

 
(120
)
Restricted common stock and warrants
 
608

 
—

Total
 
$
3,834

 
$
(333
)
 
 
 
 
 
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 September 30, 2013:
Securities owned, at fair value
 
   Level 1
 
   Level 2
 
   Level 3
 
   Total
Debt securities
 
$
—

 
$
1,666

 
$
—

 
$
1,666

U.S. Treasury notes
 
—

 
5

 
—

 
5

Common stock and warrants
 
1,555

 
608

 
—

 
2,163

Total
 
$
1,555

 
$
2,279

 
$
—

 
$
3,834


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

 
$
(15
)
 
$
—

 
$
(15
)
U.S. Treasury notes
 
—

 
(198
)
 
—

 
(198
)
Common stock and warrants
 
(120
)
 
—

 
—

 
(120
)
Total
 
$
(120
)
 
$
(213
)
 
$
—

 
$
(333
)

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
)