13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2015-12-31, filed 2016-02-12, with 7,844 holding rows worth $100,350,191,000.
- Accession
- 0000831001-16-000230
- Filer
- CIK 831001
- Filed
- 2016-02-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2015
A holdings report, 19,160 entries on the cover page, a total value of $100,350,191,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $100,350,191,000 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 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 Niagra Holdings LLC028-16171
- 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 |
|---|---|---|---|---|---|---|
| Nuverra Environmental Solutions Inc | 67091K203 | common | 168,434 | $86,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 167,000 | $86,000 | thousands by filing date | put |
| BOX INC CL A | 10316T104 | Stock | 6,098 | $85,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 4,837 | $85,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 11,597 | $85,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 23,300 | $85,000 | thousands by filing date | call |
| ASHFORD HOSPITALITY TR INC | 044103505 | 9% CUM PFD SER E | 3,377 | $85,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U514 | INVT GRD FL RT | 3,465 | $85,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 5,248 | $85,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 6,463 | $85,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 2,155 | $84,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 6,916 | $84,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 3,246 | $84,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 3,162 | $84,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 11,087 | $84,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 3,934 | $83,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 804 | $83,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 4,815 | $83,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 11,900 | $83,000 | thousands by filing date | call |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 1,641 | $83,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 15,676 | $83,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 3,000 | $83,000 | thousands by filing date | put |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 805 | $83,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 6,042 | $82,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 6,774 | $82,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 5,279 | $82,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 1,855 | $82,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 2,875 | $82,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 7,835 | $82,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 3,869 | $82,000 | thousands by filing date | |
| ALLIANCE FIBER OPTIC PRODUCT | 018680306 | COM | 5,420 | $82,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 35,030 | $82,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 5,900 | $81,000 | thousands by filing date | call |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 8,854 | $81,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 2,500 | $81,000 | thousands by filing date | put |
| BANCOLOMBIA S A | 05968L102 | SPON ADR PREF | 3,045 | $81,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 18,958 | $81,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 6,646 | $81,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 3,270 | $81,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 1,000 | $81,000 | thousands by filing date | call |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 3,309 | $81,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 3,967 | $81,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 27,103 | $81,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 10,000 | $81,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 14,900 | $80,000 | thousands by filing date | call |
| BANCORP INC DEL | 05969A105 | COM | 12,679 | $80,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 3,000 | $80,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 11,349 | $80,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 4,269 | $80,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 6,034 | $80,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 7,626 | $80,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 2,345 | $80,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 6,001 | $80,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 1,559 | $80,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 39,900 | $80,000 | thousands by filing date | call |
| CAMBREX CORP | 132011107 | COM | 1,696 | $80,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 4,421 | $80,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 11,654 | $80,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 20,264 | $80,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 6,768 | $80,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 65,636 | $80,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 4,000 | $79,000 | thousands by filing date | call |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 6,082 | $79,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 5,378 | $79,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 22,740 | $79,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219L109 | COM | 1,092 | $79,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 14,182 | $79,000 | thousands by filing date | |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 3,093 | $78,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 900 | $78,000 | thousands by filing date | call |
| MYRIAD GENETICS INC | 62855J104 | COM | 1,800 | $78,000 | thousands by filing date | call |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 4,702 | $78,000 | thousands by filing date | |
| ENOVA INTL INC | 29357K103 | COM | 11,736 | $78,000 | thousands by filing date | |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 1,848 | $78,000 | thousands by filing date | |
| FERRO CORP | 315405100 | COM | 7,037 | $78,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AH5 | NOTE 3.250% 4/0 | 64,000 | $78,000 | thousands by filing date | principal |
| EPIZYME INC | 29428V104 | COM | 4,883 | $78,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 15,738 | $78,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 9,436 | $78,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 4,682 | $78,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 2,667 | $78,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 10,105 | $78,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 500 | $77,000 | thousands by filing date | put |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 3,961 | $77,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 7,635 | $77,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 8,449 | $77,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 5,698 | $77,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 12,319 | $77,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 4,976 | $77,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 2,045 | $77,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 6,329 | $77,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 7,761 | $77,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 4,271 | $77,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 11,951 | $77,000 | thousands by filing date | put |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 5,346 | $77,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 1,400 | $76,000 | thousands by filing date | put |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 5,154 | $76,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 5,318 | $76,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 1,800 | $76,000 | thousands by filing date | call |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 2,483 | $76,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 18,982 | $76,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 7,368 | $76,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 94,000 | $76,000 | thousands by filing date | principal |
| Sierra Oncology, Inc. | 74346L101 | common | 5,034 | $76,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 2,657 | $75,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 700 | $75,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 2,839 | $75,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 2,335 | $75,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 5,816 | $75,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 9,643 | $75,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 2,497 | $75,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 18,925 | $75,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 800 | $75,000 | thousands by filing date | call |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 2,693 | $75,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 7,869 | $75,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 10,942 | $75,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 2,336 | $75,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 62,531 | $75,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 63,558 | $75,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 4,913 | $75,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 5,473 | $75,000 | thousands by filing date | |
| AVALANCHE BIOT | 05337G107 | Common Stock | 7,917 | $75,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 1,100 | $74,000 | thousands by filing date | put |
| RESMED INC COM | 761152107 | Stock | 1,390 | $74,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 6,345 | $74,000 | thousands by filing date | |
| CABOT CORP | 127055101 | COM | 1,774 | $74,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 7,418 | $74,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 11,235 | $74,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 14,005 | $74,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 11,896 | $74,000 | thousands by filing date | |
| INFOBLOX INC | 45672H104 | COM | 4,000 | $74,000 | thousands by filing date | call |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 371,400 | $74,000 | thousands by filing date | call |
| MONSTER WORLDWIDE INC | 611742107 | COM | 13,000 | $74,000 | thousands by filing date | call |
| DIREXION SHS ETF TR | 25490K554 | DAILY JR GOLD MI | 2,375 | $74,000 | thousands by filing date | |
| N 0.25 6/1/18 | 64118QAB3 | Bond 30/360P2 U | 75,000 | $74,000 | thousands by filing date | principal |
| TARGA RES CORP COM | 87612G101 | Stock | 2,700 | $73,000 | thousands by filing date | put |
| V2X INC | 92242T101 | COM | 3,495 | $73,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 365 | $73,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 3,116 | $73,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 9,299 | $73,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 781 | $73,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 1,100 | $72,000 | thousands by filing date | call |
| BAR HBR BANKSHARES | 066849100 | COM | 2,087 | $72,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 2,053 | $72,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 3,289 | $72,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 39,744 | $72,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 6,978 | $72,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 11,820 | $72,000 | thousands by filing date | |
| JOURNAL MEDIA GROUP INC | 48114A109 | COM | 6,023 | $72,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 8,712 | $72,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 6,467 | $71,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 779 | $71,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 1,300 | $71,000 | thousands by filing date | put |
| KOPIN CORP | 500600101 | COMMON STOCK | 26,261 | $71,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 1,066 | $71,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 2,543 | $71,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 7,313 | $71,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 4,935 | $71,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 6,509 | $71,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 2,143 | $71,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 3,709 | $71,000 | thousands by filing date | |
| BIOTIE THERAPIES OYJ | 09074D103 | SPONSORED ADR | 5,000 | $71,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 835 | $70,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 682 | $70,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 16,957 | $70,000 | thousands by filing date | |
| TETRA TECH INC NEW | 88162G103 | COM | 2,673 | $70,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 1,313 | $70,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 5,056 | $70,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 1,666 | $70,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 17,786 | $70,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 11,400 | $70,000 | thousands by filing date | call |
| Bowater Inc | 09066L105 | COMMON STOCKS | 17,014 | $70,000 | thousands by filing date | |
| B/E AEROSPACE INC | 073302101 | COM | 1,684 | $70,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 2,800 | $69,000 | thousands by filing date | put |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 447 | $69,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 1,575 | $69,000 | thousands by filing date | |
| MOELIS & CO | 60786M105 | CL A | 2,368 | $69,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 3,242 | $69,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 2,497 | $69,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 17,305 | $69,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 5,356 | $69,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 5,235 | $69,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 2,927 | $69,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 2,113 | $68,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 240,000 | $68,000 | thousands by filing date | put |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 2,654 | $68,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 2,966 | $68,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 66,198 | $68,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 2,262 | $68,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 2,647 | $68,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 9,475 | $68,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 15,100 | $67,000 | thousands by filing date | call |
| REALTY INCOME CORP COM | 756109104 | REIT | 1,300 | $67,000 | thousands by filing date | call |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 3,884 | $67,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 21,343 | $67,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 6,948 | $67,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 1,311 | $67,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 2,910 | $67,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 9,264 | $67,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 2,340 | $67,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 5,193 | $67,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 2,374 | $67,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 35,200 | $67,000 | thousands by filing date | call |
| ORCHID IS CAP INC | 68571X103 | COM | 6,741 | $67,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 3,829 | $67,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 4,354 | $66,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 8,567 | $66,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 3,449 | $66,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 4,531 | $66,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 2,458 | $66,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 61,801 | $66,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 3,874 | $66,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102X105 | COMMON STOCK | 4,700 | $66,000 | thousands by filing date | call |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 65,000 | $66,000 | thousands by filing date | principal |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 37,542 | $66,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 16,809 | $66,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 4,047 | $66,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 46,313 | $66,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 2,715 | $65,000 | thousands by filing date | |
| MSCI INC COM | 55354G100 | Stock | 899 | $65,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 3,337 | $65,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 5,699 | $65,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 2,138 | $65,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 1,081 | $65,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 3,265 | $65,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 10,798 | $65,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 26,407 | $65,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 2,898 | $65,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 2,681 | $65,000 | thousands by filing date | |
| GUGGENHEIM RUSSELL MCAP | 78355W577 | ETF | 1,369 | $65,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 5,637 | $65,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 2,874 | $64,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 3,822 | $64,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 2,286 | $64,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 14,150 | $64,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 15,076 | $64,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,513 | $64,000 | thousands by filing date | |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 12,400 | $64,000 | thousands by filing date | call |
| BSB BANCORP INC MD | 05573H108 | COM | 2,746 | $64,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 4,616 | $64,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 13,175 | $64,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 25,806 | $64,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 2,978 | $64,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 3,417 | $64,000 | thousands by filing date | |
| ASCENT CAP GROUP INC | 043632AA6 | NOTE 4.000 7/1 | 99,000 | $64,000 | thousands by filing date | principal |
| NEWCASTLE INVT CORP NEW COM PAR $0.01 | 65105M603 | REIT | 15,688 | $64,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 6,453 | $63,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 1,270 | $63,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 6,742 | $63,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 3,621 | $63,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 3,343 | $63,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 1,030 | $63,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 10,484 | $63,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 5,334 | $63,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 6,400 | $63,000 | thousands by filing date | put |
| WINMARK CORP | 974250102 | COM | 686 | $63,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 4,538 | $63,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 32,873 | $63,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 3,253 | $63,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 67,865 | $63,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 622 | $63,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 61,000 | $63,000 | thousands by filing date | principal |
| VINCE HLDG CORP | 92719W108 | COM | 13,813 | $63,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 5,741 | $62,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 5,684 | $62,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 6,461 | $62,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 10,255 | $62,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 3,021 | $62,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 1,400 | $61,000 | thousands by filing date | put |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 721 | $61,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 1,003 | $61,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 1,751 | $61,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 3,400 | $61,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 7,873 | $61,000 | thousands by filing date | |
| E HOUSE CHINA HLDGS LTD | 26852W103 | ADR | 9,756 | $61,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 4,700 | $61,000 | thousands by filing date | put |
| ELECTRONIC ARTS INC | 285512AA7 | NOTE 0.750% 7/1 | 28,000 | $61,000 | thousands by filing date | principal |
| VANGUARD | 92205F106 | Domestic Common | 20,400 | $61,000 | thousands by filing date | put |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 46,425 | $61,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 1,830 | $61,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 4,921 | $61,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 4,589 | $61,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 2,337 | $60,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 8,076 | $60,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 999 | $60,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 3,107 | $60,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 4,197 | $60,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 7,358 | $60,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 1,000 | $60,000 | thousands by filing date | put |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 3,660 | $60,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 12,567 | $60,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 12,592 | $60,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 22,219 | $60,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U845 | MKTVEC INTMUETF | 2,514 | $60,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 47,000 | $60,000 | thousands by filing date | principal |
| HERCULES TECHNOLOGY GROWTH | 427096AB8 | CNV | 56,000 | $60,000 | thousands by filing date | principal |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 24,457 | $60,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 2,100 | $59,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 1,533 | $59,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 15,232 | $59,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 18,570 | $59,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 3,716 | $59,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 9,789 | $59,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 2,201 | $59,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 17,060 | $59,000 | thousands by filing date | |
| Market Vectors Etf | 57060U878 | HG YLD MUN ETF | 1,900 | $59,000 | thousands by filing date | |
| ELECTRO RENT CORP | 285218103 | COM | 6,316 | $59,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 12,195 | $59,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 7,376 | $59,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219117 | *W EXP 07/08/202 | 25,000 | $59,000 | thousands by filing date | call |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 13,050 | $58,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 1,200 | $58,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 1,561 | $58,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 3,470 | $58,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 1,049 | $58,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 9,736 | $58,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 2,480 | $58,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 2,040 | $58,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 1,196 | $58,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 2,433 | $58,000 | thousands by filing date | call |
| QUALITY SYS INC | 747582104 | COM | 3,597 | $58,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 1,300 | $58,000 | thousands by filing date | call |
| ARRIS GROUP INC | 04270V106 | COM | 1,900 | $58,000 | thousands by filing date | call |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 4,129 | $58,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 9,607 | $58,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 12,808 | $58,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 1,100 | $58,000 | thousands by filing date | put |
| UCP INC - CL A | 90265Y106 | Common Stock | 8,029 | $58,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 7,700 | $57,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 2,817 | $57,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 2,550 | $57,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 4,926 | $57,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 5,030 | $57,000 | thousands by filing date | |
| MATERION CORP | 576690101 | COM | 2,011 | $57,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 5,243 | $57,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 1,500 | $57,000 | thousands by filing date | put |
| RELX NV | 75955B102 | SPONSORED ADR | 3,399 | $57,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 10,145 | $57,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 27,742 | $57,000 | thousands by filing date | |
| RR DONNELLEY + SONS CO | 257867101 | COM | 3,900 | $57,000 | thousands by filing date | call |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 4,113 | $57,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 2,144 | $57,000 | thousands by filing date | |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 24,500 | $57,000 | thousands by filing date | call |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 13,368 | $57,000 | thousands by filing date | |
| LNKD .5 11/19 | 53578AAB4 | Bond 30/360P2 U | 54,000 | $57,000 | thousands by filing date | principal |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 1,060 | $56,000 | thousands by filing date | |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 5,300 | $56,000 | thousands by filing date | call |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 6,100 | $56,000 | thousands by filing date | put |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 3,928 | $56,000 | thousands by filing date | |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 1,471 | $56,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 7,696 | $56,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 22,716 | $56,000 | thousands by filing date | |
| LO JACK CORP | 539451104 | COMMON STOCK | 10,053 | $56,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 4,787 | $56,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 41,900 | $56,000 | thousands by filing date | call |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 2,947 | $56,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 7,816 | $56,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 64,000 | $56,000 | thousands by filing date | principal |
| CPI CARD GROUP INC | 12634H101 | COM | 5,265 | $56,000 | thousands by filing date | |
| ARCHROCK PARTNERS L P | 03957U100 | COM UNITS REPSTG | 4,565 | $56,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAG6 | DBCV 2/1 | 58,000 | $56,000 | thousands by filing date | principal |
| WEYCO GROUP INC COM | 962149100 | Stock | 2,062 | $55,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 6,789 | $55,000 | thousands by filing date | |
| WINGSTOP INC COM | 974155103 | Stock | 2,408 | $55,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 5,891 | $55,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 2,093 | $55,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 3,562 | $55,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 3,017 | $55,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 4,100 | $55,000 | thousands by filing date | call |
| GENESEE & WYOMING INC | 371559105 | CL A | 1,014 | $55,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 5,142 | $55,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 3,133 | $55,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 3,761 | $55,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 3,739 | $55,000 | thousands by filing date | |
| CHARTER COMMUNICATION - A | 16117M305 | COM | 300 | $55,000 | thousands by filing date | call |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 6,400 | $55,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 5,000 | $55,000 | thousands by filing date | call |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 59,000 | $55,000 | thousands by filing date | principal |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 3,221 | $55,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 4,201 | $54,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 456 | $54,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 2,803 | $54,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 1,797 | $54,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 3,606 | $54,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 1,830 | $54,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 8,521 | $54,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 3,969 | $54,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 903 | $54,000 | thousands by filing date | |
| DIAMOND FOODS INC | 252603105 | COM | 1,400 | $54,000 | thousands by filing date | put |
| CYTRX CORP | 232828509 | COM PAR $.001 | 20,337 | $54,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 2,244 | $54,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 1,717 | $54,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 3,211 | $54,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 25,000 | $54,000 | thousands by filing date | principal |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 347 | $53,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 564 | $53,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 3,900 | $53,000 | thousands by filing date | put |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 787 | $53,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 6,269 | $53,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 1,772 | $53,000 | thousands by filing date | |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 3,105 | $53,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 715 | $53,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 2,406 | $53,000 | thousands by filing date | |
| ORBOTECH LTD | M75253100 | ORD | 2,401 | $53,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 1,004 | $53,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 1,611 | $53,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 4,771 | $53,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P509 | SPON ADR NEW2014 | 1,349 | $53,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 520 | $52,000 | thousands by filing date | |
| RYDER SYS INC COM | 783549108 | Stock | 902 | $52,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 1,683 | $52,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 2,918 | $52,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 5,292 | $52,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 6,318 | $52,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 4,150 | $52,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 3,300 | $52,000 | thousands by filing date | call |
| PROSHARES TR | 74347X849 | INDX FD | 2,065 | $52,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 10,200 | $52,000 | thousands by filing date | put |
| Biglari Holdings | 08986r101 | COM | 162 | $52,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 30,124 | $52,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 261,400 | $52,000 | thousands by filing date | put |
| INVENTURE FOODS INC | 461212102 | COM | 7,281 | $52,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 1,206 | $52,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 3,876 | $52,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 18,100 | $52,000 | thousands by filing date | call |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 8,780 | $52,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 4,560 | $52,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 1,200 | $51,000 | thousands by filing date | call |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 400 | $51,000 | thousands by filing date | call |
| DBX ETF TR | 233051820 | XTRACK MSCI ALL | 2,204 | $51,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 1,891 | $51,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 8,931 | $51,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 69,387 | $51,000 | thousands by filing date | |
| WINTHROP REALTY TRUST | 976391300 | SH B | 3,898 | $51,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 5,170 | $51,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 4,113 | $51,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 6,083 | $51,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 4,873 | $50,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 1,100 | $50,000 | thousands by filing date | call |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 1,700 | $50,000 | thousands by filing date | call |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 1,399 | $50,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 3,461 | $50,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 5,500 | $50,000 | thousands by filing date | call |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 2,008 | $50,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 13,034 | $50,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 74,185 | $50,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 2,035 | $50,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 5,852 | $50,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 14,200 | $50,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 5,319 | $50,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 700 | $49,000 | thousands by filing date | call |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 3,600 | $49,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 25,224 | $49,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 1,100 | $49,000 | thousands by filing date | put |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 1,400 | $49,000 | thousands by filing date | put |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 175,406 | $49,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 2,700 | $49,000 | thousands by filing date | put |
| AGENUS INC | 00847G705 | COM NEW | 10,700 | $49,000 | thousands by filing date | call |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 45,000 | $49,000 | thousands by filing date | principal |
| AIXTRON SE | 009606104 | SPONSORED ADR | 11,300 | $49,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 1,571 | $49,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 2,534 | $49,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 20,029 | $49,000 | thousands by filing date | |
| HALCON RES CORP COM PAR | 40537Q506 | Stock | 39,140 | $49,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 3,985 | $48,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 902 | $48,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 20,789 | $48,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 279 | $48,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 2,312 | $48,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 1,200 | $48,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 300 | $48,000 | thousands by filing date | put |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 2,294 | $48,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 1,014 | $48,000 | thousands by filing date | |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 50,000 | $48,000 | thousands by filing date | principal |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 1,112 | $48,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 3,599 | $48,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 8,404 | $48,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 4,597 | $48,000 | thousands by filing date | |
| IMPRIVATA INC | 45323J103 | Cmn | 4,254 | $48,000 | thousands by filing date | |
| GOODRICH | 382410AG3 | NOTE5 | 306,000 | $48,000 | thousands by filing date | principal |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 7,355 | $47,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 30,200 | $47,000 | thousands by filing date | call |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 1,736 | $47,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 5,747 | $47,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 40 | $47,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 4,018 | $47,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 1,081 | $47,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 3,197 | $47,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 11,153 | $47,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 11,090 | $47,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 2,980 | $47,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 1,721 | $47,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 3,655 | $47,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694305 | COM | 22,638 | $47,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 3,139 | $47,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 6,169 | $47,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 2,718 | $47,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 2,000 | $47,000 | thousands by filing date | call |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 10,121 | $47,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 1,894 | $47,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 3,400 | $46,000 | thousands by filing date | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-16-000230 | this filing | 2016-02-12 | acceptance time not in the bulk data set |