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 |
|---|---|---|---|---|---|---|
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 725 | $19,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 1,300 | $19,000 | thousands by filing date | put |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 2,100 | $19,000 | thousands by filing date | put |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 1,200 | $19,000 | thousands by filing date | put |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 427 | $19,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 1,786 | $19,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 700 | $19,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 407 | $19,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 500 | $19,000 | thousands by filing date | put |
| DB GOLD DOUBLE LONG ETN | 25154H749 | DB GOLD DBL LNG | 1,024 | $19,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 689 | $19,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 1,489 | $19,000 | thousands by filing date | |
| ARCELORMITTAL | L0302D178 | PREFERRED STOCK | 2,999 | $19,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 3,224 | $19,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 1,100 | $19,000 | thousands by filing date | put |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 11,689 | $19,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 11,583 | $19,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 218 | $19,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 1,083 | $19,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U787 | AFRICA ETF | 1,056 | $19,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 4,842 | $19,000 | thousands by filing date | |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 5,700 | $19,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 1,691 | $19,000 | thousands by filing date | |
| OPPENHEIMER REV WEIGHTED ETF | 68386C500 | ADR REV ETF | 632 | $19,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 600 | $18,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 300 | $18,000 | thousands by filing date | put |
| MESA LABS INC COM | 59064R109 | Stock | 185 | $18,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 402 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 383 | $18,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 687 | $18,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 2,247 | $18,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 728 | $18,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 1,644 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 1,460 | $18,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 465 | $18,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 2,500 | $18,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,514 | $18,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 1,315 | $18,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 10,200 | $18,000 | thousands by filing date | call |
| ALMOST FAMILY INC | 020409108 | COM | 461 | $18,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 2,047 | $18,000 | thousands by filing date | |
| RR DONNELLEY + SONS CO | 257867101 | COM | 1,200 | $18,000 | thousands by filing date | put |
| STILLWATER MINING CO | 86074Q102 | COM | 2,168 | $18,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 1,500 | $18,000 | thousands by filing date | |
| GOODRICH PETE CORP | 382410405 | COM NEW | 68,700 | $18,000 | thousands by filing date | call |
| GOODRICH PETROLEUM CORP | 382410AC2 | NOTE | 115,000 | $18,000 | thousands by filing date | principal |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 1,916 | $18,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 701 | $18,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 2,046 | $18,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 332 | $18,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 3,920 | $18,000 | thousands by filing date | call |
| LIPOCINE INC NEW | 53630X104 | CMN | 1,382 | $18,000 | thousands by filing date | |
| NRG YIELD INC | 62942X405 | CL C | 1,195 | $18,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 301 | $18,000 | thousands by filing date | |
| DEMAND MEDIA INC | 24802N208 | Cmn | 3,291 | $18,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 421 | $17,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 400 | $17,000 | thousands by filing date | call |
| RYDER SYS INC COM | 783549108 | Stock | 300 | $17,000 | thousands by filing date | call |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 400 | $17,000 | thousands by filing date | put |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 1,288 | $17,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 4,162 | $17,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 1,021 | $17,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 500 | $17,000 | thousands by filing date | call |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 1,672 | $17,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 188 | $17,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 1,451 | $17,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 708 | $17,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 2,273 | $17,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 716 | $17,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 357 | $17,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 1,089 | $17,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 5,700 | $17,000 | thousands by filing date | call |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 2,439 | $17,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 822 | $17,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 2,015 | $17,000 | thousands by filing date | |
| PHARMERICA CORP | 71714F104 | COM | 488 | $17,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 1,091 | $17,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 1,000 | $17,000 | thousands by filing date | call |
| PROSHARES TR II | 74347W395 | FUND | 148 | $17,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 11,886 | $17,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 16,917 | $17,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 1,153 | $17,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 666 | $17,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 2,955 | $17,000 | thousands by filing date | call |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 3,600 | $17,000 | thousands by filing date | put |
| MICRONET ENERTEC TECH | 595117102 | COMMON | 8,000 | $17,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 946 | $17,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 3,454 | $17,000 | thousands by filing date | |
| SFLY 0.25 5/18 | 82568PAB2 | Bond 30/360P2 U | 18,000 | $17,000 | thousands by filing date | principal |
| PROSHARES ULTRA BLOOMBERG NATURAL GAS | 74347W296 | ETF | 932 | $17,000 | thousands by filing date | |
| Innocoll | 45780Q103 | SPONDS ADR | 2,000 | $17,000 | thousands by filing date | |
| TRIMBLE INC COM | 896239100 | Stock | 779 | $16,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 634 | $16,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 1,491 | $16,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 1,537 | $16,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 244 | $16,000 | thousands by filing date | |
| MACERICH CO | 554382101 | COM | 200 | $16,000 | thousands by filing date | call |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 1,582 | $16,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 200 | $16,000 | thousands by filing date | call |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 361 | $16,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 1,436 | $16,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 1,600 | $16,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 539 | $16,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 698 | $16,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 1,756 | $16,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 600 | $16,000 | thousands by filing date | call |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 100 | $16,000 | thousands by filing date | call |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 7,632 | $16,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 3,800 | $16,000 | thousands by filing date | call |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 1,428 | $16,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 2,025 | $16,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 1,100 | $16,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 25,000 | $16,000 | thousands by filing date | principal |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 1,098 | $16,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 2,300 | $16,000 | thousands by filing date | call |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 505 | $15,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 400 | $15,000 | thousands by filing date | |
| PVH CORPORATION COM | 693656100 | Stock | 200 | $15,000 | thousands by filing date | put |
| MASIMO CORP COM | 574795100 | Stock | 363 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 215 | $15,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 300 | $15,000 | thousands by filing date | put |
| CERUS CORP | 157085101 | COM | 2,400 | $15,000 | thousands by filing date | put |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 1,201 | $15,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 3,399 | $15,000 | thousands by filing date | |
| Morningstar Wide Moat | 57060U134 | Common | 530 | $15,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 5,950 | $15,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 2,581 | $15,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 4,300 | $15,000 | thousands by filing date | call |
| NEVRO CORP | 64157F103 | COM | 228 | $15,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 893 | $15,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 45,294 | $15,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 2,700 | $15,000 | thousands by filing date | put |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 2,900 | $15,000 | thousands by filing date | call |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 900 | $15,000 | thousands by filing date | put |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 100 | $15,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 4,478 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 500 | $15,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 3,300 | $15,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 500 | $15,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 296 | $15,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 1,101 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 392 | $15,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 2,430 | $15,000 | thousands by filing date | |
| JIAYUAN COM INTL LTD | 477374102 | SPONSORED ADR | 2,000 | $15,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 298 | $15,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 200 | $14,000 | thousands by filing date | put |
| NISOURCE INC COM | 65473P105 | Stock | 700 | $14,000 | thousands by filing date | call |
| BLOCK INC CL A | 852234103 | Stock | 1,094 | $14,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 1,997 | $14,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 1,600 | $14,000 | thousands by filing date | call |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 154 | $14,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 504 | $14,000 | thousands by filing date | |
| AARONS INC | 002535300 | COM PAR $0.50 | 645 | $14,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 800 | $14,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 1,026 | $14,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 2,200 | $14,000 | thousands by filing date | call |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 342 | $14,000 | thousands by filing date | |
| STATE STREET | 78463X798 | COMMON STOCK | 756 | $14,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 400 | $14,000 | thousands by filing date | call |
| FLOTEK INDS INC DEL | 343389102 | COM | 1,200 | $14,000 | thousands by filing date | call |
| ORBCOMM INC | 68555P100 | COM | 2,051 | $14,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 473 | $14,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 3,700 | $14,000 | thousands by filing date | put |
| INTERVAL LEISURE GROUP INC | 46113M108 | COM | 850 | $14,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 800 | $14,000 | thousands by filing date | put |
| ABAXIS INC | 002567105 | COM | 246 | $14,000 | thousands by filing date | |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 1,000 | $14,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 867 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347X138 | BASIC MAT NEW | 401 | $14,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 1,617 | $14,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 385 | $14,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 900 | $14,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 343 | $14,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 2,440 | $14,000 | thousands by filing date | |
| AVOLON HLDGS LTD | G52237107 | COM | 453 | $14,000 | thousands by filing date | |
| EZCORP INC | 302301AB2 | NOTE 2.125% 6/1 | 20,000 | $14,000 | thousands by filing date | principal |
| Prism Technologies Group Inc | 74273Y100 | US Small Cap | 14,060 | $14,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME TR SHS | 25155R100 | CEF | 1,782 | $14,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 700 | $13,000 | thousands by filing date | put |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 800 | $13,000 | thousands by filing date | call |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 807 | $13,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 500 | $13,000 | thousands by filing date | call |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 92 | $13,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 1,307 | $13,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 300 | $13,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 814 | $13,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 1,015 | $13,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 1,590 | $13,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 991 | $13,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 15,475 | $13,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 235 | $13,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 1,296 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 300 | $13,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 400 | $13,000 | thousands by filing date | put |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 5,029 | $13,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 1,381 | $13,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 935 | $13,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 1,276 | $13,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892507 | CV 8% CUM PFD-D | 497 | $13,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 1,311 | $13,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 10,376 | $13,000 | thousands by filing date | |
| U M H PROPERTIES INC | 903002202 | CV RED PFD-A | 495 | $13,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 1,900 | $13,000 | thousands by filing date | put |
| LANDAUER INC | 51476K103 | COM | 378 | $13,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 212 | $13,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 593 | $13,000 | thousands by filing date | |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 500 | $13,000 | thousands by filing date | call |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 3,393 | $13,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 1,533 | $13,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 14,000 | $13,000 | thousands by filing date | principal |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 175 | $13,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 233 | $13,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 567 | $13,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 571 | $13,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 1,620 | $13,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 851 | $13,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 841 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIC BD INVST TR | 09249K107 | COM | 862 | $13,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 1,062 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 797 | $13,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 909 | $13,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 965 | $13,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 650 | $13,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 4,347 | $13,000 | thousands by filing date | |
| APIGEE CORP COM | 03765N108 | Stock | 1,723 | $13,000 | thousands by filing date | |
| Carbylan Therapeutics Inc. | 141384107 | COM | 3,701 | $13,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 300 | $12,000 | thousands by filing date | call |
| PERRIGO CO PLC SHS | G97822103 | Stock | 84 | $12,000 | thousands by filing date | call |
| AECOM COM | 00766T100 | Stock | 400 | $12,000 | thousands by filing date | call |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 1,300 | $12,000 | thousands by filing date | put |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 912 | $12,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 3,694 | $12,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 660 | $12,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 900 | $12,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 200 | $12,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 2,556 | $12,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 441 | $12,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 792 | $12,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 3,484 | $12,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 285 | $12,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 157 | $12,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 1,193 | $12,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 633 | $12,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 700 | $12,000 | thousands by filing date | call |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 2,700 | $12,000 | thousands by filing date | call |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 69,800 | $12,000 | thousands by filing date | call |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 38,289 | $12,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 5,355 | $12,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 1,194 | $12,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 2,832 | $12,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 34,645 | $12,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 9,700 | $12,000 | thousands by filing date | |
| HEALTHSOUTH CORP | 421924309 | COM NEW | 343 | $12,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 842 | $12,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 1,328 | $12,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 931 | $12,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 437 | $12,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 235 | $12,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 478 | $12,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 829 | $12,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D670 | 3X INVERS GOLD | 129 | $12,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 1,813 | $12,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 8,637 | $12,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 1,389 | $12,000 | thousands by filing date | |
| CRM 0.25 4/1/18 | 79466LAD6 | Bond 30/360P2 U | 9,000 | $12,000 | thousands by filing date | principal |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 10,730 | $12,000 | thousands by filing date | |
| ABENGOA SA | 00289R201 | SPONS ADR REP B | 9,435 | $12,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 139 | $11,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 97 | $11,000 | thousands by filing date | |
| RYDER SYS INC COM | 783549108 | Stock | 200 | $11,000 | thousands by filing date | put |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 793 | $11,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 1,200 | $11,000 | thousands by filing date | call |
| GENIE ENERGY LTD | 372284208 | CL B | 1,018 | $11,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 232 | $11,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 200 | $11,000 | thousands by filing date | call |
| DISCOVERY INC | 25470F104 | COM SER A | 400 | $11,000 | thousands by filing date | put |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 579 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 422 | $11,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 729 | $11,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 3,700 | $11,000 | thousands by filing date | put |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 2,113 | $11,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 895 | $11,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 1,188 | $11,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 787 | $11,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760C107 | COM | 758 | $11,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 6,047 | $11,000 | thousands by filing date | |
| PROGRESSIVE WASTE SOLUTIONS | 74339G101 | COM | 420 | $11,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 125 | $11,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 7,696 | $11,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 921 | $11,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R403 | EMKT HIYLD BD | 500 | $11,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 31,700 | $11,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 662 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y470 | DLY EMKT 3X NEW | 224 | $11,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 700 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 200 | $11,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 5,504 | $11,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 1,825 | $11,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 1,100 | $11,000 | thousands by filing date | call |
| Ocugen | 43358V109 | Common | 3,250 | $11,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 880 | $11,000 | thousands by filing date | |
| AMERICAN FARMLA | 02589Y100 | Common Stock | 1,500 | $11,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 2,300 | $10,000 | thousands by filing date | put |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 6,203 | $10,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 325 | $10,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 117 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 175 | $10,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 500 | $10,000 | thousands by filing date | put |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 211 | $10,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 560 | $10,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 829 | $10,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 6,167 | $10,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 6,202 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 875 | $10,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 195 | $10,000 | thousands by filing date | |
| STATE STREET SPDR PORTFOLIO INTERMEDIATE TERM CORPORATE BOND ETF | 78464A433 | ETF | 425 | $10,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,210 | $10,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 2,150 | $10,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 648 | $10,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 5,000 | $10,000 | thousands by filing date | put |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 268 | $10,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 1,893 | $10,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 1,280 | $10,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 1,069 | $10,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 2,000 | $10,000 | thousands by filing date | put |
| TIDEWATER INC | 886423102 | COM | 1,400 | $10,000 | thousands by filing date | call |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 500 | $10,000 | thousands by filing date | call |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 756 | $10,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 676 | $10,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 900 | $10,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 2,892 | $10,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 141 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 139 | $10,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 255 | $10,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 1,847 | $10,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 191 | $10,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 137 | $10,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W882 | CONSUMR DISCRT | 117 | $10,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 384 | $10,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 409 | $10,000 | thousands by filing date | |
| HOMEINNS HOTEL GROUP | 43742E102 | SPONSORED ADR | 300 | $10,000 | thousands by filing date | |
| NRG YIELD INC | 62942X306 | COM | 744 | $10,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 7,000 | $10,000 | thousands by filing date | principal |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 10,000 | $10,000 | thousands by filing date | principal |
| EASTERLY ACQUISITION CORP | 27616L102 | COM | 1,000 | $10,000 | thousands by filing date | |
| AZURE MIDSTREAM PARTNERS LP COM UNIT | 05501X100 | COMMON | 2,921 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E176 | GURU INTL IDX | 806 | $10,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 647 | $9,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 500 | $9,000 | thousands by filing date | call |
| SEMPRA COM | 816851109 | Stock | 100 | $9,000 | thousands by filing date | put |
| MYRIAD GENETICS INC | 62855J104 | COM | 200 | $9,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 137 | $9,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 308 | $9,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 724 | $9,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 300 | $9,000 | thousands by filing date | put |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 656 | $9,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 200 | $9,000 | thousands by filing date | call |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 1,809 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 311 | $9,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 164 | $9,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 375 | $9,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 1,327 | $9,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 3,000 | $9,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 1,100 | $9,000 | thousands by filing date | put |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 4,913 | $9,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 28,800 | $9,000 | thousands by filing date | call |
| TECHNIPFMC PLC | 30249U101 | COM | 300 | $9,000 | thousands by filing date | call |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 1,385 | $9,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 3,600 | $9,000 | thousands by filing date | call |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 20,259 | $9,000 | thousands by filing date | |
| MKT VECTORS EMRG MKT LCL C | 57060U522 | ETF | 540 | $9,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 3,128 | $9,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 19,780 | $9,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 265 | $9,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 8,000 | $9,000 | thousands by filing date | principal |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 602 | $9,000 | thousands by filing date | |
| PIMCO DIVERSIFIED INCOME ACTIVE EXCHANGE-TRADED FUND | 72201R726 | ETF | 192 | $9,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 100 | $8,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 5,671 | $8,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 531 | $8,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 224 | $8,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 164 | $8,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 1,654 | $8,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 100 | $8,000 | thousands by filing date | put |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 1,550 | $8,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 2,722 | $8,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 400 | $8,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 300 | $8,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 120 | $8,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 1,300 | $8,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 1,004 | $8,000 | thousands by filing date | |
| B/E AEROSPACE INC | 073302101 | COM | 200 | $8,000 | thousands by filing date | put |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 2,900 | $8,000 | thousands by filing date | put |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 1,825 | $8,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 186 | $8,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 2,012 | $8,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 500 | $8,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 1,447 | $8,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 511 | $8,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 13,472 | $8,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 661 | $8,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 1,300 | $8,000 | thousands by filing date | call |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 111 | $8,000 | thousands by filing date | |
| NUVEEN BUILD AMER BD OPPTNY | 67074q102 | COM | 377 | $8,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 400 | $8,000 | thousands by filing date | call |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 564 | $8,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 230 | $8,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 8,600 | $8,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 210 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 110 | $8,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 500 | $8,000 | thousands by filing date | call |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 245 | $8,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 700 | $8,000 | thousands by filing date | put |
| JDS UNIPHASE CORP | 46612JAF8 | DBCV 0.625% 8/1 | 9,000 | $8,000 | thousands by filing date | principal |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 879 | $8,000 | thousands by filing date | |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 302 | $8,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 8,000 | $8,000 | thousands by filing date | principal |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 100 | $7,000 | thousands by filing date | call |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 300 | $7,000 | thousands by filing date | call |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 100 | $7,000 | thousands by filing date | put |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 100 | $7,000 | thousands by filing date | put |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 414 | $7,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 450 | $7,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 200 | $7,000 | thousands by filing date | put |
| AMEDISYS INC | 023436108 | COM | 181 | $7,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 300 | $7,000 | thousands by filing date | call |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 529 | $7,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 200 | $7,000 | thousands by filing date | put |
| IMAX CORP | 45245E109 | COM | 200 | $7,000 | thousands by filing date | call |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 777 | $7,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 307 | $7,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 205 | $7,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 300 | $7,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 500 | $7,000 | thousands by filing date | put |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 1,443 | $7,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 1,600 | $7,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 547 | $7,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,000 | $7,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 375 | $7,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 7,764 | $7,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 1,201 | $7,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 458 | $7,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 28,069 | $7,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 425 | $7,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 1,273 | $7,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D654 | 3X INVERS SILV | 100 | $7,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 4,048 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 847 | $7,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 463 | $7,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 173 | $7,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 2,456 | $7,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 8,000 | $7,000 | thousands by filing date | principal |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 1,971 | $7,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 700 | $7,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 2,180 | $7,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 2,012 | $7,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142100 | COM | 4,872 | $7,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 700 | $6,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 200 | $6,000 | thousands by filing date | call |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 700 | $6,000 | thousands by filing date | put |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 400 | $6,000 | thousands by filing date | call |
| GAMING & LEISURE P COM | 36467J108 | REIT | 200 | $6,000 | thousands by filing date | call |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 6,644 | $6,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 1,053 | $6,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 1,100 | $6,000 | thousands by filing date | |
| PAPA JOHNS INTL INC | 698813102 | COM | 100 | $6,000 | thousands by filing date | call |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 381 | $6,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 2,037 | $6,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 660 | $6,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 468 | $6,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 458 | $6,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 1,029 | $6,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 589 | $6,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 380 | $6,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 491 | $6,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 482 | $6,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 912 | $6,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 662 | $6,000 | thousands by filing date | |
| UBIQUITI NETWORKS INC | 90347A100 | COM | 200 | $6,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 133 | $6,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 143 | $6,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 585 | $6,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 389 | $6,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 1,200 | $6,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 737 | $6,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 400 | $6,000 | thousands by filing date | call |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 833 | $6,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 3,405 | $6,000 | thousands by filing date | |
| KANSAS CITY LIFE INSURANCE | 484836200 | SC | 157 | $6,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 5,397 | $6,000 | thousands by filing date | |
| WAVE SYS CORP CL A NEW | 943526608 | Common Stock | 4,061 | $6,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 810 | $6,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 4,000 | $6,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 705 | $6,000 | thousands by filing date | |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 242 | $6,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 5,285 | $6,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 4,600 | $6,000 | thousands by filing date | put |
| GSE SYS INC | 36227k106 | COM | 2,803 | $6,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $6,000 | thousands by filing date | call |
| LIFELOCK INC COM | 53224V100 | COM | 400 | $6,000 | thousands by filing date | call |
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 |