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 |
|---|---|---|---|---|---|---|
| MERCER INTL INC | 588056101 | COM | 5,092 | $46,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 1,252 | $46,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 1,300 | $46,000 | thousands by filing date | put |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 703 | $46,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 27,988 | $46,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 13,800 | $46,000 | thousands by filing date | put |
| OPPENHEIMER ETF TR | 68386C302 | S&P SMALLCAP 600 | 873 | $46,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 8,814 | $46,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 3,400 | $46,000 | thousands by filing date | |
| FENIX PTS INC | 31446L100 | COM | 6,812 | $46,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 1,513 | $45,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 278 | $45,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 5,400 | $45,000 | thousands by filing date | call |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 3,924 | $45,000 | thousands by filing date | |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 74,000 | $45,000 | thousands by filing date | principal |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 3,705 | $45,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 747,192 | $45,000 | thousands by filing date | call |
| AFFYMETRIX INC | 00826T108 | COM | 4,481 | $45,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 1,850 | $45,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 4,500 | $45,000 | thousands by filing date | put |
| NEW HOME CO INC COM | 645370107 | COM | 3,458 | $45,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 4,179 | $45,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 886 | $44,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 9,000 | $44,000 | thousands by filing date | call |
| WORKIVA INC COM CL A | 98139A105 | Stock | 2,483 | $44,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 12,340 | $44,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 900 | $44,000 | thousands by filing date | put |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 676 | $44,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 3,683 | $44,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 4,689 | $44,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 1,428 | $44,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 400 | $44,000 | thousands by filing date | put |
| COSAN LTD | G25343107 | SHS A | 11,832 | $44,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 6,918 | $44,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 3,500 | $44,000 | thousands by filing date | put |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 3,529 | $44,000 | thousands by filing date | |
| SOUFUN HOLDINGS LTD | 836034108 | COMMON STOCK-FO | 6,010 | $44,000 | thousands by filing date | |
| AIR METHODS CORP | 009128307 | COM PAR $.06 | 1,077 | $44,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 49,000 | $44,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383M415 | GUG BLT2016 HY | 1,686 | $44,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 595 | $43,000 | thousands by filing date | |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 482 | $43,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 404 | $43,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 3,070 | $43,000 | thousands by filing date | |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 1,416 | $43,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 11,195 | $43,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 2,748 | $43,000 | thousands by filing date | |
| PROSHARES TR II | 74347W338 | CMN | 798 | $43,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 3,078 | $43,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 7,318 | $43,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 1,000 | $43,000 | thousands by filing date | call |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 12,435 | $43,000 | thousands by filing date | |
| FXCM INC | 302693205 | Common Stock | 2,590 | $43,000 | thousands by filing date | call |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 2,179 | $42,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 700 | $42,000 | thousands by filing date | call |
| CABELAS INC | 126804301 | COM | 900 | $42,000 | thousands by filing date | call |
| NEKTAR THERAPEUTICS | 640268108 | COM | 2,500 | $42,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 1,117 | $42,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 4,201 | $42,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 670 | $42,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 7,494 | $42,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 2,478 | $42,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 56,000 | $42,000 | thousands by filing date | principal |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 3,938 | $42,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 1,590 | $42,000 | thousands by filing date | |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 1,446 | $42,000 | thousands by filing date | |
| ANALOGIC CORP | 032657207 | COM | 509 | $42,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 8,856 | $42,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 4,715 | $42,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 2,745 | $42,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 8,003 | $42,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 2,652 | $42,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 3,694 | $42,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 1,718 | $41,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 1,164 | $41,000 | thousands by filing date | |
| MINDBODY INC | 60255W105 | COM CL A | 2,653 | $41,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 3,188 | $41,000 | thousands by filing date | |
| UBIQUITI NETWORKS INC | 90347A100 | COM | 1,300 | $41,000 | thousands by filing date | call |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 4,964 | $41,000 | thousands by filing date | |
| QLIK TECHNOLOGIES INC | 74733T105 | COM | 1,300 | $41,000 | thousands by filing date | put |
| DIREXION SHS ETF TR | 25459W540 | FUND | 547 | $41,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 18,614 | $41,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 511 | $41,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 1,000 | $41,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 16,557 | $41,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 2,426 | $40,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 500 | $40,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 1,332 | $40,000 | thousands by filing date | |
| FOX FACTORY HLDG CORP | 35138V102 | COM | 2,391 | $40,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 13,707 | $40,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 2,481 | $40,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 1,700 | $40,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 10,337 | $40,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 1,090 | $40,000 | thousands by filing date | |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 34,000 | $40,000 | thousands by filing date | principal |
| EXONE CO | 302104104 | COM | 3,936 | $40,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 30,099 | $40,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 1,235 | $40,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 132,287 | $40,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 2,038 | $40,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 44,977 | $40,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 5,805 | $39,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 41,500 | $39,000 | thousands by filing date | put |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 26,202 | $39,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 4,325 | $39,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 3,478 | $39,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 2,291 | $39,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 963 | $39,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 4,781 | $39,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 2,330 | $39,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 2,527 | $39,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 1,015 | $39,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 9,015 | $39,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 4,072 | $39,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 13,230 | $39,000 | thousands by filing date | |
| KING DIGITAL ENTMT PLC | G5258J109 | ORD SHS | 2,200 | $39,000 | thousands by filing date | put |
| Deutsche Global High Income | 25158V108 | 0 | 5,182 | $39,000 | thousands by filing date | |
| ARCH COAL INC | 039380308 | Common Stock | 39,675 | $39,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 319 | $38,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 2,455 | $38,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 1,271 | $38,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 1,212 | $38,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 14,853 | $38,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 2,673 | $38,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 1,736 | $38,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 3,217 | $38,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 750 | $38,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 1,300 | $38,000 | thousands by filing date | put |
| CARRIZO OIL & GAS INC | 144577103 | COM | 1,300 | $38,000 | thousands by filing date | call |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 10,797 | $38,000 | thousands by filing date | |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 1,107 | $38,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 15,000 | $38,000 | thousands by filing date | principal |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 14,561 | $38,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 4,314 | $38,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 2,500 | $38,000 | thousands by filing date | call |
| CUTWATER SELECT INCOME FD | 232229104 | COM | 2,106 | $38,000 | thousands by filing date | |
| GOODRICH PETE CORP | 382410405 | COM NEW | 141,300 | $38,000 | thousands by filing date | put |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 7,900 | $38,000 | thousands by filing date | call |
| EVOGENE LTD | M4119S104 | SHS | 4,760 | $38,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 5,987 | $38,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 3,693 | $38,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 10,164 | $38,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 3,426 | $38,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 2,300 | $37,000 | thousands by filing date | put |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 700 | $37,000 | thousands by filing date | call |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 1,456 | $37,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 924 | $37,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 3,486 | $37,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 4,849 | $37,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 1,021 | $37,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 666 | $37,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 6,096 | $37,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 2,442 | $37,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 3,250 | $37,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 9,730 | $37,000 | thousands by filing date | |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 16,000 | $37,000 | thousands by filing date | put |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 3,584 | $36,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 3,432 | $36,000 | thousands by filing date | |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 2,300 | $36,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 627 | $36,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 2,185 | $36,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 6,317 | $36,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 1,325 | $36,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 1,092 | $36,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 3,398 | $36,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 1,500 | $36,000 | thousands by filing date | |
| Cynosure, Inc. | 232577205 | COM | 805 | $36,000 | thousands by filing date | |
| CORELOGIC INC | 21871D103 | COM | 1,068 | $36,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 37,000 | $36,000 | thousands by filing date | principal |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 438 | $36,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PLC | 780097747 | ADR PREF SHS R | 1,444 | $36,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 2,326 | $36,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 323 | $35,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 10,654 | $35,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 1,246 | $35,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 16,700 | $35,000 | thousands by filing date | call |
| NV5 HOLDINGS, INC | 62945V109 | COM | 1,577 | $35,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 3,019 | $35,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 11,666 | $35,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 25,942 | $35,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 3,776 | $35,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 739 | $35,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 1,015 | $35,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 9,601 | $35,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 5,741 | $35,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 19,809 | $35,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 650 | $34,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 6,100 | $34,000 | thousands by filing date | put |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 253 | $34,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 892 | $34,000 | thousands by filing date | |
| PAPA JOHNS INTL INC | 698813102 | COM | 600 | $34,000 | thousands by filing date | put |
| BLACKROCK INC CL A COM | 09247X101 | COM | 100 | $34,000 | thousands by filing date | call |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 1,121 | $34,000 | thousands by filing date | |
| AARONS INC | 002535300 | COM PAR $0.50 | 1,500 | $34,000 | thousands by filing date | call |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 3,061 | $34,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 2,050 | $34,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 2,310 | $34,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 1,300 | $34,000 | thousands by filing date | put |
| INFINERA CORP | 45667G103 | COMMON STOCK | 1,900 | $34,000 | thousands by filing date | call |
| RENTECH INC | 760112201 | COMMON STOCK | 9,612 | $34,000 | thousands by filing date | |
| Invesco S&P 500 Revenue ETF | 68386C104 | Exchange Traded Fund | 865 | $34,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 1,000 | $34,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 33,317 | $34,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 10,281 | $34,000 | thousands by filing date | |
| MECOX LANE LIMITED | 58403M201 | SPON ADR REP 35 | 9,000 | $34,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 2,014 | $34,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 6,669 | $34,000 | thousands by filing date | |
| PROSHARES TR II ULT VIX SHRT | 74347W312 | CEF | 1,200 | $34,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 3,016 | $33,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 500 | $33,000 | thousands by filing date | put |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 2,852 | $33,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 900 | $33,000 | thousands by filing date | call |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 4,454 | $33,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 3,678 | $33,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 19,100 | $33,000 | thousands by filing date | put |
| VWR CORP | 91843L103 | COM | 1,174 | $33,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 65,000 | $33,000 | thousands by filing date | principal |
| MARIN SOFTWARE INC | 56804T106 | COM | 9,317 | $33,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 1,021 | $33,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 3,175 | $33,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 1,338 | $33,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 2,169 | $33,000 | thousands by filing date | |
| MARKET VECTORS ETF TR MTG | 57060U324 | ETF | 1,684 | $33,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 5,592 | $33,000 | thousands by filing date | |
| C-TRACKS ETN VOLATILITY INDX | 17318Q475 | ETP | 78,164 | $33,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 1,589 | $33,000 | thousands by filing date | |
| HRG GROUP INC COM | 40434J100 | Stock | 2,455 | $33,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 9,454 | $32,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 6,000 | $32,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 1,526 | $32,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 3,300 | $32,000 | thousands by filing date | put |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 2,214 | $32,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 1,894 | $32,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 6,736 | $32,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 5,100 | $32,000 | thousands by filing date | put |
| PATRIOT NATL INC | 70338T102 | COM | 4,761 | $32,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 7,268 | $32,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 2,536 | $32,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 29,459 | $31,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 1,676 | $31,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 2,242 | $31,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 4,927 | $31,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 4,944 | $31,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 10,000 | $31,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 615 | $31,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 915 | $31,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 7,213 | $31,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 1,795 | $31,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 1,100 | $31,000 | thousands by filing date | put |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 46,800 | $31,000 | thousands by filing date | call |
| EG DJ EMRG MKT CNSUMR TITA | 268461779 | EGS EMKTCONS ETF | 1,469 | $31,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 2,372 | $31,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 3,592 | $31,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 3,726 | $31,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,815 | $31,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 3,069 | $31,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 2,713 | $31,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 8,484 | $31,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 406 | $30,000 | thousands by filing date | |
| OMNICELL COM COM | 68213N109 | Stock | 975 | $30,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 2,100 | $30,000 | thousands by filing date | call |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 700 | $30,000 | thousands by filing date | call |
| HEALTHSTREAM INC | 42222N103 | COM | 1,358 | $30,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 1,935 | $30,000 | thousands by filing date | |
| CATALENT INC USD 0.01 | 148806102 | COM | 1,170 | $30,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 919 | $30,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 1,418 | $30,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 6,418 | $30,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 12,400 | $30,000 | thousands by filing date | call |
| EDGIO INC | 53261M104 | COM | 20,456 | $30,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 5,005 | $30,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 1,050 | $30,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 46,341 | $30,000 | thousands by filing date | |
| TRINSEO S A | L9340P101 | SHS | 1,051 | $30,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 8,372 | $30,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 590 | $29,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 1,800 | $29,000 | thousands by filing date | call |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 31,700 | $29,000 | thousands by filing date | call |
| INOGEN INC | 45780L104 | COM | 728 | $29,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 811 | $29,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 2,100 | $29,000 | thousands by filing date | call |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 6,326 | $29,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 1,431 | $29,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 1,200 | $29,000 | thousands by filing date | put |
| ATRICURE INC | 04963C209 | COM | 1,297 | $29,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 1,075 | $29,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 6,238 | $29,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 1,390 | $29,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 3,000 | $29,000 | thousands by filing date | |
| HANGER INC | 41043F208 | COMMON STOCK | 1,794 | $29,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 6,400 | $29,000 | thousands by filing date | put |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 3,600 | $29,000 | thousands by filing date | call |
| LinnCo, LLC | 535782106 | LTD | 28,800 | $29,000 | thousands by filing date | put |
| AXIALL CORP | 05463D100 | COM | 1,900 | $29,000 | thousands by filing date | call |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 1,404 | $29,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 15,562 | $29,000 | thousands by filing date | |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 27,400 | $29,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 2,353 | $29,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 1,912 | $29,000 | thousands by filing date | |
| FXCM INC | 302693205 | Common Stock | 1,730 | $29,000 | thousands by filing date | put |
| ALBEMARLE CORP | 012653101 | COM | 500 | $28,000 | thousands by filing date | call |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 2,000 | $28,000 | thousands by filing date | put |
| CUSHING RENAISSANCE FD | 231647108 | COM | 1,954 | $28,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 2,200 | $28,000 | thousands by filing date | call |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 1,383 | $28,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 1,415 | $28,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102X105 | COMMON STOCK | 2,000 | $28,000 | thousands by filing date | put |
| MERITOR INC | 59001K100 | COMMON STOCK | 3,400 | $28,000 | thousands by filing date | put |
| MYOKARDIA INC | 62857M105 | COM | 1,910 | $28,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 36,581 | $28,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 980 | $28,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 7,700 | $28,000 | thousands by filing date | put |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 1,700 | $28,000 | thousands by filing date | call |
| DYNEX CAP INC | 26817Q506 | COM NEW | 4,360 | $28,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 9,400 | $28,000 | thousands by filing date | call |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 1,284 | $28,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u753 | INDONESIA ETF | 1,500 | $28,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,789 | $28,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 9,862 | $28,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 37,000 | $28,000 | thousands by filing date | principal |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 400 | $27,000 | thousands by filing date | call |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 1,200 | $27,000 | thousands by filing date | call |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 2,096 | $27,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 230 | $27,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 1,832 | $27,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 1,409 | $27,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 4,738 | $27,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 2,238 | $27,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 888 | $27,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,477 | $27,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 4,300 | $27,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 2,988 | $27,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 2,675 | $27,000 | thousands by filing date | |
| GREATBATCH INC | 39153L106 | COM | 505 | $27,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 10,771 | $27,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 1,500 | $27,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 766 | $27,000 | thousands by filing date | |
| CENTRAL GOLDTRUST | 153546106 | TR U | 722 | $27,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 11,270 | $27,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 11,000 | $27,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A441 | NUVN CALI MUNI | 1,100 | $27,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R406 | SEL LC GRW ETF | 600 | $27,000 | thousands by filing date | |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 2,200 | $27,000 | thousands by filing date | call |
| STONEGATE MTG CORP | 86181Q300 | COM | 4,860 | $27,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 1,738 | $26,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 500 | $26,000 | thousands by filing date | put |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 5,872 | $26,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 497 | $26,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 405 | $26,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 3,342 | $26,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 1,005 | $26,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 1,469 | $26,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 671 | $26,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 6,489 | $26,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 830 | $26,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 10,000 | $26,000 | thousands by filing date | put |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097713 | PREFERRED STOCK | 1,000 | $26,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 742 | $26,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 14,035 | $26,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 52,496 | $26,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 52,951 | $26,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 62,550 | $26,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 1,861 | $26,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 836 | $26,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 24,000 | $26,000 | thousands by filing date | principal |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 1,516 | $26,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 2,221 | $26,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 2,130 | $25,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 9,057 | $25,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 1,230 | $25,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 1,213 | $25,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 2,046 | $25,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 2,002 | $25,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 9,600 | $25,000 | thousands by filing date | call |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 1,454 | $25,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 20,078 | $25,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 637 | $25,000 | thousands by filing date | |
| PROSHARES TR II SHT | 74347W627 | VIX ST TRM | 500 | $25,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 8,335 | $25,000 | thousands by filing date | |
| TALEN ENERGY CORP | 87422J105 | COM | 4,000 | $25,000 | thousands by filing date | call |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 30,000 | $25,000 | thousands by filing date | principal |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 258 | $24,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 300 | $24,000 | thousands by filing date | put |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 589 | $24,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 1,759 | $24,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 300 | $24,000 | thousands by filing date | put |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 533 | $24,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 3,400 | $24,000 | thousands by filing date | put |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 2,445 | $24,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 1,100 | $24,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 1,000 | $24,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 1,800 | $24,000 | thousands by filing date | call |
| AFFIMED N V | N01045108 | COM | 3,472 | $24,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 4,700 | $24,000 | thousands by filing date | call |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 19,000 | $24,000 | thousands by filing date | principal |
| EAGLE BULK SHIPPING INC SHS NEW 2014 | Y2187A127 | Stock | 6,989 | $24,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 703 | $23,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 3,289 | $23,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 406 | $23,000 | thousands by filing date | |
| AGCO CORP | 001084102 | COM | 500 | $23,000 | thousands by filing date | call |
| ENSIGN GROUP INC | 29358P101 | COM | 1,028 | $23,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 16,979 | $23,000 | thousands by filing date | |
| SANDERSON FARMS | 800013104 | COM | 300 | $23,000 | thousands by filing date | put |
| ARISTA NETWORKS INC | 040413106 | COM | 300 | $23,000 | thousands by filing date | put |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 1,690 | $23,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 1,917 | $23,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 788 | $23,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 2,222 | $23,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,715 | $23,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 1,578 | $23,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 1,533 | $23,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 851 | $23,000 | thousands by filing date | |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 13,946 | $23,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 7,907 | $23,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 1,119 | $23,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 3,740 | $23,000 | thousands by filing date | |
| Market Vectors Small Cap India | 57061r551 | COM | 522 | $23,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 700 | $22,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 1,000 | $22,000 | thousands by filing date | put |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 626 | $22,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 2,192 | $22,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 5,193 | $22,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 1,460 | $22,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 409 | $22,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 2,042 | $22,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,550 | $22,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 300 | $22,000 | thousands by filing date | call |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,130 | $22,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 797 | $22,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 1,545 | $22,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 400 | $22,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 616 | $22,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 2,533 | $22,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 200 | $22,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 16 | $22,000 | thousands by filing date | |
| QLIK TECHNOLOGIES INC | 74733T105 | COM | 700 | $22,000 | thousands by filing date | call |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 4,249 | $22,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 813 | $22,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 600 | $22,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 43,625 | $22,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,903 | $22,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 1,084 | $22,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 682 | $22,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 2,027 | $22,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 951 | $22,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 6,787 | $22,000 | thousands by filing date | |
| VIRGIN AMER INC | 92765X208 | COM VTG | 605 | $22,000 | thousands by filing date | |
| VIRGIN AMER INC | 92765X208 | COM VTG | 600 | $22,000 | thousands by filing date | call |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 16,000 | $22,000 | thousands by filing date | principal |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 20,000 | $22,000 | thousands by filing date | principal |
| GOLDEN OCEAN GRP LTD | G39637106 | Equities | 21,155 | $22,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 393 | $21,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 608 | $21,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 400 | $21,000 | thousands by filing date | put |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 1,400 | $21,000 | thousands by filing date | put |
| AECOM COM | 00766T100 | Stock | 700 | $21,000 | thousands by filing date | put |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 2,600 | $21,000 | thousands by filing date | put |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 1,554 | $21,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 212 | $21,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 3,600 | $21,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 2,006 | $21,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 1,517 | $21,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 500 | $21,000 | thousands by filing date | put |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 1,013 | $21,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $21,000 | thousands by filing date | principal |
| PENN WEST PETE LTD NEW | 707887105 | COM | 24,900 | $21,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 1,000 | $21,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 395 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 419 | $21,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 2,303 | $21,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 1,601 | $21,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 1,298 | $21,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 10,322 | $21,000 | thousands by filing date | |
| AMAYA INC | 02314M108 | COM | 1,675 | $21,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 23,000 | $21,000 | thousands by filing date | principal |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 22,500 | $21,000 | thousands by filing date | call |
| LDR HLDG CORP | 50185U105 | COM | 804 | $21,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 2,396 | $21,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 230 | $20,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 420 | $20,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 470 | $20,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R866 | INTER MUN BD ACT | 375 | $20,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 3,200 | $20,000 | thousands by filing date | call |
| PRAXAIR INC | 74005P104 | COM | 200 | $20,000 | thousands by filing date | call |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 488 | $20,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 3,200 | $20,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 2,676 | $20,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 13,000 | $20,000 | thousands by filing date | principal |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 18,000 | $20,000 | thousands by filing date | principal |
| VERASTEM INC | 92337C104 | COM | 10,785 | $20,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 2,000 | $20,000 | thousands by filing date | call |
| MCDERMOTT INTL INC | 580037109 | COM | 5,900 | $20,000 | thousands by filing date | call |
| TROVAGENE INC | 897238309 | COM | 3,715 | $20,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 5,252 | $20,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T433 | WK VRDO TX FR | 821 | $20,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 267 | $20,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 316 | $20,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,112 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74348A335 | COM | 695 | $20,000 | thousands by filing date | |
| ENDOCHOICE HLDGS INC COM | 29272U103 | COM | 2,378 | $20,000 | thousands by filing date |
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 |