Annual report pursuant to section 13 and 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)
 12 Months Ended
Dec. 31, 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 as of December 31, 2013 and 2012 were as follows:
 
 
Securities Owned   
 
Securities Sold,
But Not Yet Purchased
December 31, 2013
 
 
 
 
Certificates of deposit
 
$
24

 
$
—

Debt securities
 
1,402

 
(46
)
U.S. Treasury notes
 
1

 
—

Common stock and warrants
 
689

 
(33
)
Restricted common stock and warrants
 
725

 
(4
)
Other investments
 
1,948

 
—

Total
 
$
4,789

 
$
(83
)
 
 
 
 
 
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:
 
 
December 31, 2013
Securities owned, at fair value
 
   Level 1
 
   Level 2
 
   Level 3
 
   Total
Certificates of deposit
 
$
24

 
$
—

 
$
—

 
$
24

Debt securities
 
—

 
1,402

 
—

 
1,402

U.S. Treasury notes
 
—

 
1

 
—

 
1

Common stock and warrants
 
689

 
725

 
—

 
1,414

Other investments
 
—

 
1,948

 
—

 
1,948

Total
 
$
713

 
$
4,076

 
$
—

 
$
4,789


 
 
December 31, 2013
Securities sold, but not yet purchased, at fair value
 
   Level 1
 
   Level 2
 
   Level 3
 
   Total
Debt securities
 
$
—

 
$
(46
)
 
$
—

 
$
(46
)
Common stock and warrants
 
(33
)
 
(4
)
 
—

 
(37
)
Total
 
$
(33
)
 
$
(50
)
 
$
—

 
$
(83
)

 
 
December 31, 2012
Securities owned, at fair value
 
   Level 1
 
   Level 2
 
   Level 3
 
   Total
Certificates of deposit
 
$
14

 
$
—

 
$
—

 
$
14

Debt securities
 
—

 
1,098

 
—

 
1,098

Common stock and warrants
 
384

 
582

 
—

 
966

Total
 
$
398

 
$
1,680

 
$
—

 
$
2,078


 
 
December 31, 2012
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
)