Concept Capital Markets as of Sept. 30, 2012
Portfolio Holdings for Concept Capital Markets
Concept Capital Markets holds 0 positions in its portfolio as reported in the September 2012 quarterly 13F filing
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
-------- --------- -------- -------- ------------- ---------- -------- ------------------------
Title of Value SHRS OR SH/ Investment Other Voting Authority
Name of Issuer Class CUSIP (x1000) PRN AMT PRN Discretion Managers Sole Shared None
-------------- -------------- --------- ------ ------- --- ---------- -------- ---- ------ ----
{S} {C} {C} {C} {C} {C} {C} {C} {C} {C}
CALL CTL 04/20/13 44 CALL 156700906 -0.9 -20 YES SOLE
CALL CVS 01/19/13 45 CALL 126650900 -8.3 -20 YES SOLE
CALL CVX 01/19/13 110 CALL 166764900 -5.78 -7 YES SOLE
CALL D 01/19/13 55 CALL 25746U909 0.62 -13 YES SOLE
CALL KMB 01/19/13 80 CALL 494368903 -6.5 -10 YES SOLE
CALL MIPS 10/20/12 8 CALL 604567907 4.88 150 YES SOLE
CALL MRVL 01/19/13 11 CALL G5876H905 -1.93 -70 YES SOLE
CALL MSFT 01/19/13 32.50 CALL 594918904 -1.04 -25 YES SOLE
CALL NEM 01/19/13 55 CALL 651639906 -5.89 -15 YES SOLE
CALL PFE 03/16/13 25 CALL 717081903 -3.12 -35 YES SOLE
CALL TPLM 01/19/13 5 CALL 89600B901 7.05 30 YES SOLE
CALL VOD 01/19/13 30 CALL 92857W909 -0.81 -25 YES SOLE
PUT LPX 11/17/12 12 PUT 546347955 7.5 100 YES SOLE
AT^T INC Stock 00206R102 38.57 1023 YES SOLE
ACCELRYS INC Stock 00430U103 14209.65 1640837 YES SOLE
ADVENT CLAYMORE CONV SECS & Stock 00764C109 16.47 1000 YES SOLE
***ADVANTAGE OIL & GAS LTD Stock 00765F101 260.8 69700 YES SOLE
AETNA INC NEW Stock 00817Y108 -273.08 -6896 YES SOLE
ALPHA NATURAL RESOURCES INC Stock 02076X102 267.73 40751 YES SOLE
ALTRIA GROUP INC Stock 02209S103 16.7 500 YES SOLE
AMERICAN CAPITAL LIMITED Stock 02503Y103 14.46 1274 YES SOLE
AMERICAN EAGLE OUTFITTERS INC Stock 02553E106 2.11 100 YES SOLE
AMERIGROUP CORP Stock 03073T102 1371.45 15000 YES SOLE
BILL BARRETT CORPORATION Stock 06846N104 148.62 6000 YES SOLE
BLACKROCK INCOME TRUST INC Stock 09247F100 276.48 36000 YES SOLE
BLACKROCK MUNIENHANCED FD INC Stock 09253Y100 78.36 6000 YES SOLE
BRIGHTPOINT INC Stock 109473405 18.84 2100 YES SOLE
BRISTOL MYERS SQUIBB CO Stock 110122108 371.25 11000 YES SOLE
BROADVISION INC Stock 111412706 0.04 4 YES SOLE
BROCADE COMMUNICATIONS SYS INC Stock 111621306 525.7 88875 YES SOLE
CBIZ INC Stock 124805102 6.02 1000 YES SOLE
CVS CAREMARK CORPORATION Stock 126650100 96.84 2000 YES SOLE
***ALCATEL-LUCENT Stock 013904305 0.79 716 YES SOLE
CATERPILLAR INC Stock 149123101 120.46 1400 YES SOLE
***CENOVUS ENERGY INC Stock 15135U109 0.14 4 YES SOLE
CENTURYLINK INC Stock 156700106 80.8 2000 YES SOLE
CHEVRON CORPORATION Stock 166764100 1107.32 9500 YES SOLE
CHYRON CORPORATION Stock 171605306 86.23 86239 YES SOLE
CITIGROUP INC Stock 172967416 32.97 340 YES SOLE
CITIGROUP INC Stock 172967424 29.45 900 YES SOLE
ALLETE INC Stock 018522300 6.93 166 YES SOLE
COCA COLA COMPANY Stock 191216100 280.68 7400 YES SOLE
COLGATE PALMOLIVE CO Stock 194162103 265.05 2472 YES SOLE
COLLECTIVE BRANDS INC Stock 19421W100 1215.76 56000 YES SOLE
COMCAST CORP Stock 20030N101 358.24 10022 YES SOLE
COMPLETE GENOMICS INC Stock 20454K104 93.15 30000 YES SOLE
CONOCOPHILLIPS Stock 20825C104 194.41 3400 YES SOLE
CONSOL ENERGY INC Stock 20854P109 0 0 YES SOLE
COPANO ENERGY LLC Stock 217202100 131.92 4000 YES SOLE
CORNING INC Stock 219350105 52.6 4000 YES SOLE
COVENTRY HEALTH CARE INC Stock 222862104 740.58 17764 YES SOLE
DCP MIDSTREAM PARTNERS LP Stock 23311P100 208.98 4500 YES SOLE
DTS INC Stock 23335C101 625.56 26848 YES SOLE
DEERE & CO Stock 244199105 230.92 2800 YES SOLE
DEVON ENERGY CORPORATION NEW Stock 25179M103 87.73 1450 YES SOLE
DIGIMARC CORPORATION Stock 25381B101 15133.63 680163 YES SOLE
WALT DISNEY CO Stock 254687106 1.05 20 YES SOLE
DIRECTV Stock 25490A309 31.46 600 YES SOLE
AMERICAN ELECTRIC POWER CO INC Stock 025537101 2054.2 46750 YES SOLE
DOLLAR THRIFTY AUTOMOTIVE Stock 256743105 869.3 10000 YES SOLE
DOMINION RESOURCES INC VA NEW Stock 25746U109 217.05 4100 YES SOLE
R R DONNELLEY & SONS CO Stock 257867101 0.03 3 YES SOLE
AMERICAN EXPRESS COMPANY Stock 025816109 13.08 230 YES SOLE
DOW CHEMICAL CO. Stock 260543103 469.07 16200 YES SOLE
AMERICAN GREETINGS CORP-CL A Stock 026375105 117.6 7000 YES SOLE
DUKE ENERGY CORPORATION Stock 26441C204 511.71 7898 YES SOLE
DURECT CORP Stock 266605104 36.72 25500 YES SOLE
DYNAVOX INC Stock 26817F104 2.64 5000 YES SOLE
***EDAP TMS SA-SPONSORED ADR Stock 268311107 0.86 500 YES SOLE
EOG RES INC Stock 26875P101 56.03 500 YES SOLE
E TRADE FINANCIAL CORPORATION Stock 269246401 17.6 2000 YES SOLE
EAGLE ROCK ENERGY PARTNERS LP Stock 26985R104 19.12 2000 YES SOLE
EATON CORP Stock 278058102 -474.97 -10048 YES SOLE
EATON VANCE TAX ADVANTAGED Stock 27828G107 171.1 10000 YES SOLE
EBAY INC Stock 278642103 72.75 1504 YES SOLE
ECOLAB INC Stock 278865100 51.85 800 YES SOLE
ABBOTT LABORATORIES Stock 002824100 137.12 2000 YES SOLE
ELLIE MAE INC Stock 28849P100 125.26 4600 YES SOLE
EMERSON ELECTRIC CO Stock 291011104 77.23 1600 YES SOLE
***ENCANA CORP Stock 292505104 0.09 4 YES SOLE
ENTERPRISE PRODUCTS PARTNERS Stock 293792107 1023.76 19100 YES SOLE
ENZO BIOCHEM INC Stock 294100102 0.49 242 YES SOLE
EXAR CORPORATION Stock 300645108 216.58 27072 YES SOLE
EXXON MOBIL CORP Stock 30231G102 1080.94 11820 YES SOLE
FSI INTERNATIONAL INC Stock 302633102 1.24 200 YES SOLE
FAIR ISAAC INC Stock 303250104 0.13 3 YES SOLE
FALCONSTOR SOFTWARE INC Stock 306137100 451.49 192125 YES SOLE
ANADARKO PETROLEUM CORP Stock 032511107 2.1 30 YES SOLE
ANALOG DEVICES INC Stock 032654105 705.15 18000 YES SOLE
FIRSTCITY FINANCIAL CORP Stock 33761X107 8.06 1000 YES SOLE
ANNALY CAPITAL MANAGEMENT INC Stock 035710409 33.68 2000 YES SOLE
FRONTIER COMMUNICATIONS CORP Stock 35906A108 2.54 517 YES SOLE
GT ADVANCED TECHNOLOGIES INC Stock 36191U106 7.62 1400 YES SOLE
GABELLI DIVIDEND & INCOME FUND Stock 36242H104 169.5 10000 YES SOLE
GAP INC Stock 364760108 36.57 1022 YES SOLE
***GASTAR EXPLORATION LTD Stock 367299203 53.78 32400 YES SOLE
GENERAL ELECTRIC CO Stock 369604103 2517.97 110875 YES SOLE
GENERAL MILLS INC Stock 370334104 111.58 2800 YES SOLE
GENERAL MOTORS COMPANY Stock 37045V100 2.78 122 YES SOLE
WTS GENERAL MOTORS COMPANY Warrants 37045V118 1.52 110 YES SOLE
WTS GENERAL MOTORS COMPANY Warrants 37045V126 0.91 110 YES SOLE
GENTEX CORP Stock 371901109 2881.5 169600 YES SOLE
APACHE CORP Stock 037411105 38.91 450 YES SOLE
***GLAXOSMITHKLINE PLC Stock 37733W105 92.48 2000 YES SOLE
APPLE INC Stock 037833100 353.57 530 YES SOLE
APPLIED MATERIALS INC Stock 038222105 0.13 12 YES SOLE
GOODRICH PETROLEUM CORP NEW Stock 382410405 20.22 1600 YES SOLE
GOOGLE INC Stock 38259P508 30.18 40 YES SOLE
ABRAXAS PETROLEUM CORP Stock 003830106 311.65 135500 YES SOLE
ARCH COAL INC Stock 039380100 335.49 53000 YES SOLE
HCP INC Stock 40414L109 2637.66 59300 YES SOLE
***HSBC HOLDINGS PLC ADS Stock 404280604 19.58 775 YES SOLE
HALCON RESOURCES CORPORATION Stock 40537Q209 221.37 30200 YES SOLE
H J HEINZ CO Stock 423074103 39.17 700 YES SOLE
HELMERICH & PAYNE INC Stock 423452101 38.09 800 YES SOLE
HEWLETT PACKARD CO Stock 428236103 3.41 200 YES SOLE
ACCURAY INCORPORATED Stock 004397105 200.07 28258 YES SOLE
INTEL CORP Stock 458140100 113.28 5000 YES SOLE
INTERNATIONAL BUSINESS Stock 459200101 334.41 1612 YES SOLE
INTERSIL CORPORATION CL A Stock 46069S109 0.01 1 YES SOLE
INVESCO VALUE MUNICIPAL Stock 46132W103 63.4 4000 YES SOLE
ISHARES INC Stock 464286400 27.03 500 YES SOLE
JPMORGAN CHASE & CO Stock 46625H100 367.32 9074 YES SOLE
JAMBA INC Stock 47023A101 3.34 1500 YES SOLE
JOHNSON & JOHNSON Stock 478160104 1108.62 16088 YES SOLE
JUNIPER NETWORKS Stock 48203R104 0.07 4 YES SOLE
KKR FINANCIAL HOLDINGS LLC Stock 48248A306 20.1 2000 YES SOLE
KEY ENERGY SERVICES INC Stock 492914106 14 2000 YES SOLE
KIMBERLY CLARK CORP Stock 494368103 1432.53 16700 YES SOLE
KRAFT FOODS INC Stock 50075N104 3969.6 96000 YES SOLE
KRATOS DEFENSE & SEC SOLUTIONS Stock 50077B207 2.92 500 YES SOLE
LMP CAPITAL AND INCOME FUND Stock 50208A102 144.3 10000 YES SOLE
LSI CORPORATION Stock 502161102 0.06 8 YES SOLE
LABORATORY CORP AMER HLDGS Stock 50540R409 0.09 1 YES SOLE
LEAPFROG ENTERPRISES INC Stock 52186N106 0.05 5 YES SOLE
LEARNING TREE INTERNATIONAL Stock 522015106 61.08 12000 YES SOLE
LEGACY RESERVES LP Stock 524707304 144.15 5000 YES SOLE
AVERY DENNISON CORP Stock 053611109 1272.8 40000 YES SOLE
LIONBRIDGE TECHNOLOGIES INC Stock 536252109 5801.79 1648235 YES SOLE
LOCKHEED MARTIN CORP Stock 539830109 46.69 500 YES SOLE
LUMINEX CORP DEL Stock 55027E102 3188.55 164020 YES SOLE
BRT REALTY TRUST SBI-NEW Stock 055645303 10.43 1604 YES SOLE
MARKEL CORP HOLDING CO Stock 570535104 137.55 300 YES SOLE
MARKET VECTORS ETF TR JR Stock 57060U589 10.88 440 YES SOLE
MCDONALDS CORP Stock 580135101 58.72 640 YES SOLE
MCMORAN EXPLORATION COMPANY Stock 582411104 428.29 36450 YES SOLE
MEDICIS PHARMACEUTICAL CORP Stock 584690309 1125.19 26004 YES SOLE
MEDIWARE INFORMATION SYSTEMS Stock 584946107 133.65 6100 YES SOLE
MERCK & CO INC Stock 58933Y105 18.04 400 YES SOLE
METLIFE INC Stock 59156R108 105.1 3050 YES SOLE
MICROSOFT CORP Stock 594918104 3340.47 112247 YES SOLE
MICRON TECHNOLOGY INC Stock 595112103 5.98 1000 YES SOLE
MIDSTATES PETROLEUM COMPANY Stock 59804T100 124.56 14400 YES SOLE
MIPS TECHNOLOGIES INC Stock 604567107 5145.86 696328 YES SOLE
BANK OF AMERICA CORP Stock 060505104 62.57 7086 YES SOLE
BANK OF AMERICA Stock 060505682 38.12 35 YES SOLE
MOLYCORP INC Stock 608753109 230 20000 YES SOLE
MOTOROLA SOLUTIONS INC Stock 620076307 13.9 275 YES SOLE
NIC INC Stock 62914B100 1296.48 87600 YES SOLE
NVE CORPORATION Stock 629445206 292.99 4950 YES SOLE
***BANK OF MONTREAL Stock 063671101 44.48 753 YES SOLE
NATIONAL RESEARCH CORP Stock 637372103 271.46 5400 YES SOLE
NEOGEN CORP Stock 640491106 256.2 6000 YES SOLE
NET 1 UEPS TECHNOLOGIES INC Stock 64107N206 110.41 12200 YES SOLE
NEWMONT MINING CORP Stock 651639106 1708.46 30500 YES SOLE
NORFOLK SOUTHERN CORP Stock 655844108 127.26 2000 YES SOLE
NORTHERN OIL & GAS INC Stock 665531109 356.79 21000 YES SOLE
NORTHROP GRUMMAN CORP Stock 666807102 53.14 800 YES SOLE
***NOVO NORDISK A/S-ADR Stock 670100205 118.36 750 YES SOLE
NUVEEN MARYLAND PREMIUM INCOME Stock 67061Q107 77.7 5000 YES SOLE
NUVEEN EQUITY PREM ADVANTAGE Stock 6706ET107 12.66 1000 YES SOLE
NUVEEN PREFERRED INCOME Stock 67073B106 9.86 1000 YES SOLE
NUVEEN CREDIT STRATEGIES Stock 67073D102 213.84 22000 YES SOLE
NUVEEN MUNICIPAL OPPORTUNITY Stock 670984103 78.1 5000 YES SOLE
OCCIDENTAL PETE CORP Stock 674599105 133.39 1550 YES SOLE
OFFICIAL PAYMENTS HOLDINGS Stock 67623R106 398.34 80800 YES SOLE
ONLINE RESOURCES CORP Stock 68273G101 4290.98 1464497 YES SOLE
ONVIA INC Stock 68338T403 480.63 127826 YES SOLE
ORACLE CORP Stock 68389X105 12.4 394 YES SOLE
PDF SOLUTIONS INC Stock 693282105 47498.16 3477171 YES SOLE
PPG INDUSTRIES INC Stock 693506107 447.42 3896 YES SOLE
PRGX GLOBAL INC Stock 69357C503 1751.38 204600 YES SOLE
PACIFIC CAPITAL BANCORP Stock 69404P200 918 20000 YES SOLE
PALL CORP Stock 696429307 2688.17 42340 YES SOLE
PARAMETRIC TECHNOLOGY CORP Stock 699173209 1348.65 61950 YES SOLE
PARKER DRILLING CO Stock 701081101 12.69 3000 YES SOLE
PARKERVISION INC Stock 701354102 4.7 2000 YES SOLE
PAYCHEX INC Stock 704326107 129.83 3900 YES SOLE
PEPSICO INC Stock 713448108 70.77 1000 YES SOLE
PEREGRINE PHARMACEUTICALS INC Stock 713661304 0.41 400 YES SOLE
PETROQUEST ENERGY INC Stock 716748108 281.82 42000 YES SOLE
PFIZER INC Stock 717081103 6760.44 272050 YES SOLE
PHILIP MORRIS INTERNATIONAL Stock 718172109 125.92 1400 YES SOLE
PHYSICIANS FORMULA HOLDINGS Stock 719427106 314.12 64500 YES SOLE
PIONEER MUNICIPAL HIGH Stock 723763108 32.78 2000 YES SOLE
PLUM CREEK TIMBER CO INC Stock 729251108 5372.42 122546 YES SOLE
PRESIDENTIAL LIFE CORP Stock 740884101 557.2 40000 YES SOLE
PRESSTEK INC Stock 741113104 145.81 296368 YES SOLE
PROCTER & GAMBLE CO Stock 742718109 194.35 2802 YES SOLE
PROSHARES ULTRASHORT BARCLAYS Stock 74347R297 23.39 1500 YES SOLE
PROSHARES SHORT RUSSELL2000 Stock 74347R826 24.98 1000 YES SOLE
QUICKLOGIC CORP Stock 74837P108 264.96 94630 YES SOLE
RAILAMERICA INC Stock 750753402 1071.33 39000 YES SOLE
REGENERON PHARMACEUTICALS INC Stock 75886F107 152.66 1000 YES SOLE
REIS INC Stock 75936P105 858 75000 YES SOLE
ROBBINS & MYERS INC Stock 770196103 894 15000 YES SOLE
***ROYAL DUTCH SHELL PLC Stock 780259206 60.8 876 YES SOLE
SAIC INC Stock 78390X101 3469.93 288200 YES SOLE
SPDR GOLD TR Stock 78463V107 53.29 310 YES SOLE
***AEGON NV Stock 007924103 7.34 1408 YES SOLE
SANDRIDGE PERMIAN TR Stock 80007A102 9.96 500 YES SOLE
SANDRIDGE ENERGY INC Stock 80007P307 163.91 23500 YES SOLE
SANDRIDGE MISSISSIPPIAN TRUST Stock 80007T101 4.92 200 YES SOLE
SANDRIDGE MISSISSIPPIAN TR II Stock 80007V106 10.17 500 YES SOLE
***SANOFI Stock 80105N105 43.06 1000 YES SOLE
***SCHLUMBERGER LTD Stock 806857108 60.4 835 YES SOLE
SEABRIGHT HOLDINGS INC Stock 811656107 187 17000 YES SOLE
SECTOR SPDR TRUST Stock 81369Y803 30.83 1000 YES SOLE
SELECTICA INC Stock 816288203 3.84 700 YES SOLE
SEMPRA ENERGY Stock 816851109 51.59 800 YES SOLE
SENOMYX INC Stock 81724Q107 1856.74 977234 YES SOLE
SHAW GROUP INC Stock 820280105 1090.5 25000 YES SOLE
SIRIUS XM RADIO INC Stock 82967N108 0.02 9 YES SOLE
SMITH MICRO SOFTWARE INC Stock 832154108 138.78 86200 YES SOLE
SONUS NETWORKS INC Stock 835916107 319.51 169500 YES SOLE
BERKSHIRE HATHAWAY INC DEL Stock 084670702 176.4 2000 YES SOLE
STEEL PARTNERS HOLDINGS Stock 85814R107 600.54 51905 YES SOLE
STRATUS PROPERTIES INC Stock 863167201 0.47 50 YES SOLE
***SUNCOR ENERGY INC Stock 867224107 98.65 3000 YES SOLE
SUNRISE SENIOR LIVING INC Stock 86768K106 706.37 49500 YES SOLE
SWIFT ENERGY CO Stock 870738101 152.42 7300 YES SOLE
SYMANTEC CORPORATION Stock 871503108 0.02 1 YES SOLE
***SYNGENTA AG Stock 87160A100 37.43 500 YES SOLE
SYSCO CORP Stock 871829107 62.54 2000 YES SOLE
TICC CAPITAL CORP Stock 87244T109 43.68 4200 YES SOLE
TARGA RESOURCES PARTNERS LP Stock 87611X105 128.64 3000 YES SOLE
TARGET CORP Stock 87612E106 63.47 1000 YES SOLE
TENNECO INC Stock 880349105 0.56 20 YES SOLE
***TEVA PHARMACEUTICAL Stock 881624209 3291.52 79486 YES SOLE
TEXAS INSTRUMENTS INCORPORATED Stock 882508104 83 3012 YES SOLE
3-D SYSTEMS CORP-DEL Stock 88554D205 3143.12 95681 YES SOLE
3M COMPANY Stock 88579Y101 46.21 500 YES SOLE
TRANSACT TECHNOLOGIES INC Stock 892918103 5608.42 752808 YES SOLE
TRIANGLE PETROLEUM CORP Stock 89600B201 305.02 42600 YES SOLE
TRUSTCO BANK CORP N Y Stock 898349105 22.84 4000 YES SOLE
U S HOME SYSTEMS INC Stock 90335C100 115.32 9248 YES SOLE
***UNILEVER PLC Stock 904767704 60.08 1645 YES SOLE
UNITED PARCEL SVC INC Stock 911312106 114.51 1600 YES SOLE
UNITEDHEALTH GROUP INC Stock 91324P102 0.11 2 YES SOLE
***VALEANT PHARMACEUTICALS Stock 91911K102 1.43 26 YES SOLE
VERIZON COMMUNICATIONS Stock 92343V104 384.7 8442 YES SOLE
VERMILLION INC Stock 92407M206 4.06 2400 YES SOLE
BLACKROCK CREDIT ALLOCATION Stock 092508100 297.78 21000 YES SOLE
***VODAFONE GROUP PLC Stock 92857W209 4711.93 165360 YES SOLE
WAL-MART STORES INC Stock 931142103 134.91 1828 YES SOLE
WALTER ENERGY INC NEW Stock 93317Q105 623.23 19200 YES SOLE
WASTE MANAGEMENT INC DEL Stock 94106L109 2957.78 92200 YES SOLE
WATSON PHARMACEUTICALS INC Stock 942683103 82.09 964 YES SOLE
WELLS FARGO & CO Stock 949746101 20.61 597 YES SOLE
WESTERN ASSET/CLAYMORE Stock 95766R104 215.2 16000 YES SOLE
BOARDWALK PIPELINE PARTNERS LP Stock 096627104 2529.14 90650 YES SOLE
WILLIAMS PARTNERS L P Stock 96950F104 0.05 1 YES SOLE
WISCONSIN ENERGY CORP Stock 976657106 169.52 4500 YES SOLE
XEROX CORP Stock 984121103 -0.01 -2 YES SOLE
***XINYUAN REAL ESTATE CO LTD Stock 98417P105 14.25 5000 YES SOLE
YAHOO INC Stock 984332106 53.61 3356 YES SOLE
ZAZA ENERGY CORP Stock 98919T100 199.77 67261 YES SOLE
ZYNGA INC Stock 98986T108 119.07 42000 YES SOLE
***ENERGY XXI BERMUDA LIMITED Stock G10082140 45.45 1300 YES SOLE
***BUNGE LTD Stock G16962105 3.35 50 YES SOLE
***COOPER INDUSTRIES PLC Stock G24140108 973.98 12976 YES SOLE
***INGERSOLL RAND PLC Stock G47791101 224.1 5000 YES SOLE
***MARVELL TECHNOLOGY GROUP Stock G5876H105 2798.68 305700 YES SOLE
***NOBLE CORPORATION Stock H5833N103 28.62 800 YES SOLE
***VISTAPRINT NV Stock N93540107 34.15 1000 YES SOLE
Total 207190.84