13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-13, with 7,853 holding rows worth $106,849,433,000.
- Accession
- 0000831001-15-000195
- Filer
- CIK 831001
- Filed
- 2015-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 18,418 entries on the cover page, a total value of $106,849,433,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $106,849,433,000 with VALUE read as thousands by filing date, 13F file number 028-02427. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerAcciones y Valores Banamex, S.A. de C.V., Casa de Bolsa, integrante del Grupo Financiero Banamex028-10815
- included managerCiti GSCP Inc.028-16164
- included managerCiti Overseas Investments Bahamas Inc.028-10818
- included managerCitibank (Switzerland)028-04289
- included managerCitibank, N.A.028-04287
- included managerCitibank Canada028-06215
- included managerCitibank Overseas Investment Corp028-05347
- included managerCiticorp028-11520
- included managerCiticorp (Mexico) Holdings LLC028-10819
- included managerCiticorp Banking Corp028-04349
- included managerCiticorp Trust Delaware, National Association028-12382
- included managerCiticorp Trust South Dakota028-12977
- included managerCitigroup Alternative Investments LLC028-10293
- included managerCitigroup Capital Partners Mexico, S. de R.L. de C.V.028-16170
- included managerCitigroup Derivatives Markets Inc.028-11547
- included managerCitigroup Financial Products Inc.028-01114
- included managerCitigroup Global Markets Deutschland AG028-10817
- included managerCitigroup Global Markets Europe Ltd028-04305
- included managerCitigroup Global Markets Finance Corp & Co. beschrankt haftende KG028-10821
- included managerCitigroup Global Markets Holdings Inc.028-01109
- included managerCitigroup Global Markets Inc.028-00541
- included managerCitigroup Global Markets International LLC028-04311
- included managerCitigroup Global Markets Ltd028-04309
- included managerCitigroup Investments Inc.028-10295
- included managerCitigroup Niagra Holdings LLC028-16171
- included managerCitigroup Private Equity LP028-16666
- included managerCOHM Overseas Mexico Holding, S. de R.L. de C.V.028-14268
- included managerGrupo Financiero Banamex, S.A. de C.V.028-10816
- included managerImpulsora de Fondos Banamex, S.A. de C.V., Sociedad Operadora de Sociedades de Inversion028-10822
- included managerNAMGK Mexico Holding, S. de R.L. de C.V.028-16172
- included managerTRV Holdings LLC028-16173
- included managerTRV Investments LLC028-16174
- included managerCitigroup Inc. 028-02427
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 875 | $9,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 2,308 | $9,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 1,500 | $9,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 715 | $9,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 300 | $9,000 | thousands by filing date | put |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 6,000 | $9,000 | thousands by filing date | principal |
| VERITIV CORP | 923454102 | COM | 255 | $9,000 | thousands by filing date | put |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 620 | $9,000 | thousands by filing date | |
| THE ADT CORPORATION | 00101J106 | COM | 300 | $9,000 | thousands by filing date | put |
| ROVI CORP | 779376102 | COM | 887 | $9,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 1,300 | $9,000 | thousands by filing date | call |
| MCCLATCHY CO | 579489105 | CL A | 9,732 | $9,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 1,141 | $9,000 | thousands by filing date | |
| RR DONNELLEY + SONS CO | 257867101 | COM | 600 | $9,000 | thousands by filing date | call |
| CLAYMORE EXCHANGE TRD FD TR | 18383M423 | GUGG BULL 2015 | 334 | $9,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 21,700 | $9,000 | thousands by filing date | |
| GOODRICH PETE CORP | 382410405 | COM NEW | 14,909 | $9,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 154 | $9,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 4,908 | $9,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 1,160 | $9,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 120 | $9,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 708 | $9,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 9,100 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X830 | RUSS NOMURA PR | 205 | $9,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641760 | CMCI AGRI ETN | 500 | $9,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 600 | $9,000 | thousands by filing date | call |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 357 | $9,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 401 | $9,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 804 | $9,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763AAB4 | NOTE 2.750%12/1 | 10,000 | $9,000 | thousands by filing date | principal |
| NOVA LIFESTYLE INC | 66979P102 | COM | 4,000 | $9,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L100 | COM | 4,211 | $9,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 454 | $8,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 335 | $8,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 100 | $8,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 500 | $8,000 | thousands by filing date | put |
| ASBURY AUTOMOTIVE GROUP INC COM | 043436104 | Stock | 98 | $8,000 | thousands by filing date | |
| MANPOWERGROUP INC WIS COM | 56418H100 | Stock | 100 | $8,000 | thousands by filing date | call |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 1,361 | $8,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 512 | $8,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 76 | $8,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 12,600 | $8,000 | thousands by filing date | call |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 88 | $8,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 200 | $8,000 | thousands by filing date | put |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 602 | $8,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 300 | $8,000 | thousands by filing date | call |
| A10 NETWORKS INC | 002121101 | COM | 1,318 | $8,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 594 | $8,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 400 | $8,000 | thousands by filing date | call |
| JACK IN THE BOX INC | 466367109 | COM | 100 | $8,000 | thousands by filing date | put |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 1,002 | $8,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 603 | $8,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 1,831 | $8,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 216 | $8,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 4,500 | $8,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 400 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 253 | $8,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 300 | $8,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 3,000 | $8,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 850 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 86 | $8,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 200 | $8,000 | thousands by filing date | call |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 1,616 | $8,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 1,385 | $8,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 664 | $8,000 | thousands by filing date | |
| NEUSTAR INC | 64126X201 | CL A | 300 | $8,000 | thousands by filing date | call |
| INTRALINKS HLDGS INC | 46118H104 | COM | 951 | $8,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 934 | $8,000 | thousands by filing date | |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 2,748 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 188 | $8,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 7,010 | $8,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 625 | $8,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 319 | $8,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 766 | $8,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 111 | $8,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 636 | $8,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 340 | $8,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 615 | $8,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 1,361 | $8,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 3,296 | $8,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 2,061 | $8,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 1,000 | $8,000 | thousands by filing date | call |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 646 | $8,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 547 | $8,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 9,000 | $8,000 | thousands by filing date | principal |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 302 | $8,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 3,151 | $8,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 634 | $7,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 5,153 | $7,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 495 | $7,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 830 | $7,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 500 | $7,000 | thousands by filing date | call |
| HEICO CORP NEW | 422806208 | CL A | 160 | $7,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 200 | $7,000 | thousands by filing date | call |
| WAYFAIR INC | 94419L101 | CL A | 200 | $7,000 | thousands by filing date | put |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 400 | $7,000 | thousands by filing date | |
| AMEDISYS INC | 023436108 | COM | 184 | $7,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 688 | $7,000 | thousands by filing date | |
| AARONS INC | 002535300 | COM PAR $0.50 | 200 | $7,000 | thousands by filing date | put |
| LENNAR CORP CL B | 526057302 | Stock | 172 | $7,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 200 | $7,000 | thousands by filing date | put |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 348 | $7,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 485 | $7,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 710 | $7,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 387 | $7,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 224 | $7,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 395 | $7,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 291 | $7,000 | thousands by filing date | |
| UBIQUITI NETWORKS INC | 90347A100 | COM | 200 | $7,000 | thousands by filing date | put |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 307 | $7,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 2,292 | $7,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 922 | $7,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 200 | $7,000 | thousands by filing date | call |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 300 | $7,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 1,300 | $7,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 2,503 | $7,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,000 | $7,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760C107 | COM | 598 | $7,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 1,437 | $7,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 200 | $7,000 | thousands by filing date | call |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 3,300 | $7,000 | thousands by filing date | call |
| MKT VECTORS EMRG MKT LCL C | 57060U522 | ETF | 380 | $7,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 3,017 | $7,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 777 | $7,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 1,766 | $7,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 608 | $7,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 9,792 | $7,000 | thousands by filing date | |
| TALEN ENERGY CORP | 87422J105 | COM | 708 | $7,000 | thousands by filing date | put |
| TALEN ENERGY CORP | 87422J105 | COM | 720 | $7,000 | thousands by filing date | call |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 1,378 | $7,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 1,684 | $7,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 566 | $7,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 9,000 | $7,000 | thousands by filing date | principal |
| FACTORSHARES TR | 30304R506 | PURFND BG DATA | 300 | $7,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 82 | $6,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 104 | $6,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 700 | $6,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 1,612 | $6,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 261 | $6,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 200 | $6,000 | thousands by filing date | call |
| DIANA SHIPPING INC | Y2066G104 | COM | 994 | $6,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 296 | $6,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 201 | $6,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 2,000 | $6,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 706 | $6,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 880 | $6,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 475 | $6,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 502 | $6,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 100 | $6,000 | thousands by filing date | put |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 502 | $6,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 825 | $6,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 434 | $6,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 308 | $6,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 263 | $6,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 1,000 | $6,000 | thousands by filing date | call |
| SIFCO INDS INC | 826546103 | COM | 500 | $6,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,010 | $6,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 1,100 | $6,000 | thousands by filing date | put |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 34 | $6,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 495 | $6,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 488 | $6,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 300 | $6,000 | thousands by filing date | call |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 106 | $6,000 | thousands by filing date | |
| THERAVANCE INC | 88338T104 | COMMON STOCK | 800 | $6,000 | thousands by filing date | put |
| ARCELORMITTAL | L0302D178 | PREFERRED STOCK | 777 | $6,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 398 | $6,000 | thousands by filing date | |
| REALD INC | 75604L105 | COMMON STOCK | 628 | $6,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 2,700 | $6,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 58,100 | $6,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 1,021 | $6,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 2,331 | $6,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 1,600 | $6,000 | thousands by filing date | put |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 229 | $6,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 131 | $6,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 1,435 | $6,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 600 | $6,000 | thousands by filing date | call |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 5,951 | $6,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 1,843 | $6,000 | thousands by filing date | |
| HEARTWARE INTL INC | 422368100 | COM | 113 | $6,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 17 | $6,000 | thousands by filing date | |
| STEINER LEISURE LTD | P8744Y102 | ORD | 97 | $6,000 | thousands by filing date | |
| DIAMOND FOODS INC | 252603105 | COM | 200 | $6,000 | thousands by filing date | call |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $6,000 | thousands by filing date | call |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 13,900 | $6,000 | thousands by filing date | put |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 834 | $6,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 1,511 | $6,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 980 | $6,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 9,830 | $6,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 1,905 | $6,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 11,422 | $6,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 250 | $6,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 239 | $6,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 1,009 | $6,000 | thousands by filing date | |
| MARKET VECTORS | 57061R791 | ETF TR PFD SEC EXFINL | 285 | $6,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 73 | $6,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 400 | $6,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 470 | $6,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 707 | $6,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 963 | $6,000 | thousands by filing date | |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 4,389 | $6,000 | thousands by filing date | call |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 457 | $6,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 369 | $6,000 | thousands by filing date | |
| ISRA VANECK VECTORS ETF TR | 57061R676 | ETF | 200 | $6,000 | thousands by filing date | |
| FENIX PTS INC | 31446L100 | COM | 916 | $6,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 1,001 | $6,000 | thousands by filing date | |
| AMPLIPHI BIOSCIENCES ORD SHS | 03211P202 | COM | 1,600 | $6,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 408 | $6,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605116 | Cmn | 4,779 | $6,000 | thousands by filing date | |
| YUMA ENERGY INC | 98872E207 | Pref Stk | 650 | $6,000 | thousands by filing date | |
| CELLADON CORP | 15117E107 | Cmn | 5,475 | $6,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 66 | $5,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 80 | $5,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 50 | $5,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 184 | $5,000 | thousands by filing date | |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 53 | $5,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 568 | $5,000 | thousands by filing date | |
| UNITIL CORP COM | 913259107 | Stock | 140 | $5,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 200 | $5,000 | thousands by filing date | call |
| MERIT MED SYS INC COM | 589889104 | Stock | 207 | $5,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 1,007 | $5,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 606 | $5,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 163 | $5,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 376 | $5,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 306 | $5,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 643 | $5,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 124 | $5,000 | thousands by filing date | |
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| CERUS CORP | 157085101 | COM | 1,181 | $5,000 | thousands by filing date | |
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| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 103 | $5,000 | thousands by filing date | |
| VIRTU FINL INC | 928254101 | CL A | 203 | $5,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 376 | $5,000 | thousands by filing date | |
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| DB GOLD DOUBLE LONG ETN | 25154H749 | DB GOLD DBL LNG | 239 | $5,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 709 | $5,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 264 | $5,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 205 | $5,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 66 | $5,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 317 | $5,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 653 | $5,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 2,400 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 152 | $5,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 492 | $5,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 775 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 210 | $5,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 677 | $5,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 33 | $5,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 500 | $5,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 390 | $5,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 4,285 | $5,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 4 | $5,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 4,360 | $5,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 1,000 | $5,000 | thousands by filing date | put |
| LAKELAND BANCORP INC | 511637100 | COM | 437 | $5,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 5,445 | $5,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 308 | $5,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 520 | $5,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 104 | $5,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 1,194 | $5,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 900 | $5,000 | thousands by filing date | put |
| PIER 1 IMPORTS INC | 720279108 | COM | 700 | $5,000 | thousands by filing date | put |
| REACHLOCAL INC | 75525F104 | COM | 2,550 | $5,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 831 | $5,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 2,080 | $5,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 954 | $5,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 6,400 | $5,000 | thousands by filing date | put |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 1,400 | $5,000 | thousands by filing date | call |
| CREDIT SUISSE NASSAU BRH ETN L | 22542D852 | COM | 257 | $5,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 3,124 | $5,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INDL SEC | 73935X369 | COM | 117 | $5,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 114 | $5,000 | thousands by filing date | |
| MONTGOMERY STR INCOME SECS I | 614115103 | COM | 309 | $5,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 2,800 | $5,000 | thousands by filing date | put |
| STEMCELLS INC | 85857R204 | COM NEW | 12,080 | $5,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 367 | $5,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 18,350 | $5,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 319 | $5,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 655 | $5,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 579 | $5,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 320 | $5,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 800 | $5,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 602 | $5,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 403 | $5,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 391 | $5,000 | thousands by filing date | |
| CAPE BANCORP INC | 139209100 | COM | 395 | $5,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 3,000 | $5,000 | thousands by filing date | principal |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 1,595 | $5,000 | thousands by filing date | |
| ISHARES TR | 464289313 | 2016 S&P AMTFR | 180 | $5,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 300 | $5,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A276 | BRC BLD AMER BD | 84 | $5,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 200 | $5,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 984 | $5,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 407 | $5,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 1,303 | $5,000 | thousands by filing date | |
| NRG YIELD INC | 62942X405 | CL C | 405 | $5,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 1,000 | $5,000 | thousands by filing date | |
| ABENGOA SA | 00289R201 | SPONS ADR REP B | 1,069 | $5,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 151 | $4,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 299 | $4,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 2,350 | $4,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 100 | $4,000 | thousands by filing date | put |
| BOX INC CL A | 10316T104 | Stock | 300 | $4,000 | thousands by filing date | put |
| MASIMO CORP COM | 574795100 | Stock | 106 | $4,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 400 | $4,000 | thousands by filing date | call |
| DENISON MINES CORP | 248356107 | COM | 10,812 | $4,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 7,849 | $4,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 115 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 175 | $4,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 100 | $4,000 | thousands by filing date | put |
| ALBEMARLE CORP | 012653101 | COM | 100 | $4,000 | thousands by filing date | call |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 100 | $4,000 | thousands by filing date | call |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 400 | $4,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 388 | $4,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 89 | $4,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 252 | $4,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 118 | $4,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 288 | $4,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 2,193 | $4,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 235 | $4,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 935 | $4,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 320 | $4,000 | thousands by filing date | |
| FORWARD AIR CORP | 349853101 | COM | 96 | $4,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 329 | $4,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 373 | $4,000 | thousands by filing date | |
| MINDBODY INC | 60255W105 | COM CL A | 253 | $4,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 310 | $4,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 787 | $4,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,118 | $4,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 153 | $4,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 495 | $4,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 404 | $4,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 159 | $4,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 274 | $4,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 258 | $4,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 540 | $4,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 220 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 58 | $4,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 2,004 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 146 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 89 | $4,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 471 | $4,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 100 | $4,000 | thousands by filing date | call |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 591 | $4,000 | thousands by filing date | |
| CHEVIOT FINANCIAL CORP | 16677X105 | COMMON STOCK | 312 | $4,000 | thousands by filing date | |
| CYBERONICS | 23251P102 | COMMON STOCK | 60 | $4,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 5,100 | $4,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 1,432 | $4,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 786 | $4,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 100 | $4,000 | thousands by filing date | put |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 600 | $4,000 | thousands by filing date | put |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 478 | $4,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 4,289 | $4,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 287 | $4,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 260 | $4,000 | thousands by filing date | |
| ISHARES DOW JONES UBS ROLL S | 45032K102 | SHS BEN INT | 120 | $4,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 689 | $4,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 280 | $4,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 194 | $4,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 319 | $4,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 705 | $4,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 1,000 | $4,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 470 | $4,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 2,876 | $4,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 350 | $4,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 9,273 | $4,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 20,950 | $4,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 5,000 | $4,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 461 | $4,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 398 | $4,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 590 | $4,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 323 | $4,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q304 | JEFF TRJ CRB GLO | 135 | $4,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 1,053 | $4,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 31 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 419 | $4,000 | thousands by filing date | |
| TIGERLOGIC CORPORATION | 8867EQ101 | COM | 18,527 | $4,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 405 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J257 | TAIWAN ALPHADE | 124 | $4,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 76 | $4,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 142 | $4,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 493 | $4,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 258 | $4,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 616 | $4,000 | thousands by filing date | |
| CERES INC | 156773400 | COM NEW | 3,873 | $4,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 502 | $4,000 | thousands by filing date | |
| SYMMETRY SURGICAL INC | 87159G100 | COM | 395 | $4,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 2,813 | $4,000 | thousands by filing date | |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 2,929 | $4,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 100 | $3,000 | thousands by filing date | put |
| BOX INC CL A | 10316T104 | Stock | 200 | $3,000 | thousands by filing date | call |
| GODADDY INC CL A | 380237107 | Stock | 100 | $3,000 | thousands by filing date | put |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 122 | $3,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 2,379 | $3,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 350 | $3,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 240 | $3,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 288 | $3,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 200 | $3,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 160 | $3,000 | thousands by filing date | |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 144 | $3,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 186 | $3,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 1,070 | $3,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 134 | $3,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 84 | $3,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 64 | $3,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 100 | $3,000 | thousands by filing date | call |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 400 | $3,000 | thousands by filing date | put |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 212 | $3,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 269 | $3,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 133 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 224 | $3,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 176 | $3,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 66 | $3,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 485 | $3,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 134 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 75 | $3,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 146 | $3,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 179 | $3,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 705 | $3,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 344 | $3,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 406 | $3,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 303 | $3,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 242 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 100 | $3,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 109 | $3,000 | thousands by filing date | |
| ORBOTECH LTD | M75253100 | ORD | 181 | $3,000 | thousands by filing date | |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 140 | $3,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 96 | $3,000 | thousands by filing date | |
| LRR ENERGY LP | 50214A104 | COMMON STOCK | 730 | $3,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 200 | $3,000 | thousands by filing date | call |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 2,000 | $3,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 200 | $3,000 | thousands by filing date | put |
| SEASPINE HLDGS CORP | 81255T108 | COM | 163 | $3,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 119 | $3,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 90 | $3,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 235 | $3,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 220 | $3,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 238 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 58 | $3,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 2,000 | $3,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 1,105 | $3,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 307 | $3,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 595 | $3,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 800 | $3,000 | thousands by filing date | put |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 800 | $3,000 | thousands by filing date | call |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 1,000 | $3,000 | thousands by filing date | put |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 1,270 | $3,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 283 | $3,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 7,864 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 200 | $3,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 2,100 | $3,000 | thousands by filing date | call |
| NEURALSTEM INC | 64127R302 | COM | 2,172 | $3,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 461 | $3,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 147 | $3,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 3,273 | $3,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 301 | $3,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 394 | $3,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 342 | $3,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 1,500 | $3,000 | thousands by filing date | |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 68 | $3,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $3,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 70 | $3,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 153 | $3,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 107 | $3,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 500 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E861 | COPPER MNR ETF | 625 | $3,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 300 | $3,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 1,000 | $3,000 | thousands by filing date | put |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 1,014 | $3,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 696 | $3,000 | thousands by filing date | |
| UBS AG JERSEY BRANCH | 902664200 | 2XMN ALR MLP INF | 106 | $3,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 482 | $3,000 | thousands by filing date | |
| Professional Diversity Network | 74312y103 | COM | 4,500 | $3,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 1,428 | $3,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 4,731 | $3,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 711 | $3,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 1,374 | $3,000 | thousands by filing date | |
| IMS HEALTH HOLDINGS | 44970B109 | COM | 103 | $3,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 182 | $3,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 280 | $3,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 151 | $3,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 441 | $3,000 | thousands by filing date | |
| WPCS INTL INC COM PAR $.0001 N | 92931L401 | Stock | 2,260 | $3,000 | thousands by filing date | |
| MAGELLAN PETE CORP COM NEW | 559091608 | Stock | 5,625 | $3,000 | thousands by filing date | |
| OI SA SPONSORED ADR CMN | 670851302 | COM | 900 | $3,000 | thousands by filing date | |
| ZULILY INC | 989774104 | CL A | 200 | $3,000 | thousands by filing date | call |
| TRIVASCULAR TECHNOLOGIES INC | 89685A102 | COM | 500 | $3,000 | thousands by filing date | |
| OCI RES LP | 67081B106 | COM UNIT LTD | 154 | $3,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 50 | $2,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 200 | $2,000 | thousands by filing date | put |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 155 | $2,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 27 | $2,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 62 | $2,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 200 | $2,000 | thousands by filing date | put |
| CMB.TECH NV SHS | B38564108 | Stock | 118 | $2,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 100 | $2,000 | thousands by filing date | put |
| FRESHPET INC COM | 358039105 | Stock | 143 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-15-000195 | this filing | 2015-11-13 | acceptance time not in the bulk data set |