13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2016-03-31, filed 2016-05-13, with 7,733 holding rows worth $89,024,939,000.
- Accession
- 0000831001-16-000275
- Filer
- CIK 831001
- Filed
- 2016-05-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2016
A holdings report, 18,209 entries on the cover page, a total value of $89,024,939,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $89,024,939,000 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 |
|---|---|---|---|---|---|---|
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 1,177 | $60,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 61,000 | $60,000 | thousands by filing date | principal |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 3,200 | $60,000 | thousands by filing date | put |
| VIRNETX HLDG CORP | 92823T108 | COM | 13,000 | $60,000 | thousands by filing date | call |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 12,100 | $60,000 | thousands by filing date | call |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 6,467 | $60,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 1,200 | $59,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 5,079 | $59,000 | thousands by filing date | |
| PVH CORPORATION COM | 693656100 | Stock | 600 | $59,000 | thousands by filing date | put |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 3,493 | $59,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 25,953 | $59,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 343 | $59,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 500 | $59,000 | thousands by filing date | call |
| GENESEE & WYOMING INC | 371559105 | CL A | 948 | $59,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 6,427 | $59,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 4,160 | $59,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 1,123 | $59,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 11,838 | $59,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 4,234 | $59,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 7,900 | $59,000 | thousands by filing date | call |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 4,689 | $59,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 66,000 | $59,000 | thousands by filing date | principal |
| NEURODERM LTD | M74231107 | ORD SHS | 4,176 | $59,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219117 | *W EXP 07/08/202 | 25,000 | $59,000 | thousands by filing date | call |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 39,793 | $59,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 14,000 | $58,000 | thousands by filing date | call |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 6,127 | $58,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 2,100 | $58,000 | thousands by filing date | call |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 24,751 | $58,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 1,924 | $58,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 900 | $58,000 | thousands by filing date | call |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 3,800 | $58,000 | thousands by filing date | call |
| SEALED AIR CORP NEW | 81211K100 | COM | 1,200 | $58,000 | thousands by filing date | call |
| AEGON N V | 007924103 | NY REGISTRY SHS | 10,480 | $58,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 3,001 | $58,000 | thousands by filing date | |
| KBR INC COM | 48242W106 | Stock | 3,714 | $58,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 10,500 | $58,000 | thousands by filing date | call |
| CUTWATER SELECT INCOME FD | 232229104 | COM | 3,015 | $58,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 32,964 | $58,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 9,408 | $58,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 5,419 | $58,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 19,626 | $58,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 51,164 | $57,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 2,800 | $57,000 | thousands by filing date | call |
| MARINE PRODS CORP | 568427108 | cs | 7,474 | $57,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 3,900 | $57,000 | thousands by filing date | call |
| ISRAMCO INC | 465141406 | COM | 701 | $57,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 9,300 | $56,000 | thousands by filing date | call |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 36,100 | $56,000 | thousands by filing date | put |
| ENERPLUS CORP | 292766102 | COM | 14,345 | $56,000 | thousands by filing date | |
| NEWCASTLE INVT CORP NEW COM PAR $0.01 | 65105M603 | REIT | 12,864 | $56,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 2,201 | $55,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 1,300 | $55,000 | thousands by filing date | put |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 3,928 | $55,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 4,200 | $55,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 4,347 | $55,000 | thousands by filing date | |
| AGCO CORP | 001084102 | COM | 1,100 | $55,000 | thousands by filing date | call |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 9,169 | $55,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 2,898 | $55,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 46,460 | $55,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 800 | $55,000 | thousands by filing date | put |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 562 | $55,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 1,223 | $55,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 7,283,000 | $55,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 2,034 | $55,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 7,700 | $55,000 | thousands by filing date | call |
| ULTRA PETROLEUM CORP | 903914109 | COM | 110,900 | $55,000 | thousands by filing date | call |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 88,620 | $55,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 120,051 | $55,000 | thousands by filing date | |
| AIXTRON SE | 009606104 | SPONSORED ADR | 11,342 | $55,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 498 | $55,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 3,047 | $55,000 | thousands by filing date | |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 4,200 | $55,000 | thousands by filing date | call |
| EXELIXIS INC COM | 30161Q104 | Stock | 13,500 | $54,000 | thousands by filing date | call |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 600 | $54,000 | thousands by filing date | call |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 10,287 | $54,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 11,788 | $54,000 | thousands by filing date | |
| SANDERSON FARMS | 800013104 | COM | 600 | $54,000 | thousands by filing date | put |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 1,833 | $54,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 1,200 | $54,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 5,104 | $54,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 21,566 | $54,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 57,900 | $54,000 | thousands by filing date | call |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 3,338 | $54,000 | thousands by filing date | |
| C-TRACKS ETN VOLATILITY INDX | 17318Q475 | ETP | 153,025 | $54,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 4,700 | $53,000 | thousands by filing date | call |
| Apollo Global Management | 037612306 | COM | 3,100 | $53,000 | thousands by filing date | put |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 7,000 | $53,000 | thousands by filing date | call |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 4,935 | $53,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 3,400 | $53,000 | thousands by filing date | call |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 624 | $52,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 807 | $52,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 1,300 | $52,000 | thousands by filing date | call |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 5,187 | $52,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 6,949 | $52,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 4,424 | $52,000 | thousands by filing date | |
| AXIALL CORP | 05463D100 | COM | 2,400 | $52,000 | thousands by filing date | call |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 32,957 | $52,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 54,998 | $52,000 | thousands by filing date | |
| Market Vectors Etf | 57060U878 | HG YLD MUN ETF | 1,670 | $52,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 34,000 | $52,000 | thousands by filing date | principal |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 3,600 | $52,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 2,000 | $51,000 | thousands by filing date | put |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 375 | $51,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 4,600 | $51,000 | thousands by filing date | put |
| RYERSON HLDG CORP | 783754104 | COM | 9,109 | $51,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 3,836 | $51,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 9,757 | $51,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 1,627 | $51,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 2,008 | $51,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 3,916 | $51,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 45,000 | $51,000 | thousands by filing date | principal |
| VANGUARD | 92205F106 | Domestic Common | 34,973 | $51,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 361 | $51,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K349 | DLY NATRL GAS 3X | 1,970 | $51,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 2,093 | $50,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 466 | $50,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 4,621 | $50,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 1,695 | $50,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 6,765 | $50,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 27,500 | $50,000 | thousands by filing date | put |
| WINTHROP REALTY TRUST | 976391300 | SH B | 3,806 | $50,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 10,700 | $50,000 | thousands by filing date | call |
| APPFOLIO INC | 03783C100 | COM CL A | 3,983 | $49,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 12,812 | $49,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 2,579 | $49,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 10,979 | $49,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 18,458 | $49,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 13,200 | $49,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 42,234 | $49,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 555 | $48,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 902 | $48,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 40 | $48,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 3,197 | $48,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 2,647 | $48,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 5,977 | $48,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 27,212 | $48,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 39,000 | $48,000 | thousands by filing date | principal |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 10,369 | $48,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 2,903 | $48,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 3,400 | $48,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 3,600 | $47,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 929 | $47,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 3,100 | $47,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 2,012 | $47,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359309 | COM | 1,800 | $47,000 | thousands by filing date | put |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 238,400 | $47,000 | thousands by filing date | call |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 10,884 | $47,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 23,334 | $47,000 | thousands by filing date | |
| RAS 4 10/1/33 | 749227AB0 | Bond 30/360P2 U | 56,000 | $47,000 | thousands by filing date | principal |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 300 | $46,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 400 | $46,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 615 | $46,000 | thousands by filing date | |
| QLIK TECHNOLOGIES INC | 74733T105 | COM | 1,600 | $46,000 | thousands by filing date | call |
| ULTRA PETROLEUM CORP | 903914109 | COM | 92,600 | $46,000 | thousands by filing date | put |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 1,850 | $46,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 3,000 | $46,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 1,715 | $46,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 5,954 | $46,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 600 | $45,000 | thousands by filing date | put |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 380 | $45,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 12,046 | $45,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 3,461 | $45,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 700 | $45,000 | thousands by filing date | put |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 3,903 | $45,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 3,120 | $45,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 2,000 | $45,000 | thousands by filing date | call |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 1,327 | $45,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 400 | $45,000 | thousands by filing date | call |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 5,050 | $45,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 7,891 | $45,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 5,100 | $44,000 | thousands by filing date | put |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 600 | $44,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 1,331 | $44,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 2,855 | $44,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 3,695 | $44,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 18,784 | $44,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 79,200 | $44,000 | thousands by filing date | call |
| ROCKWELL MED INC | 774374102 | COM | 5,900 | $44,000 | thousands by filing date | put |
| MITEL NETWORKS CORP | 60671Q104 | COM | 5,407 | $44,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 8,168 | $44,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 85,113 | $44,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 595 | $43,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 393 | $43,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 900 | $43,000 | thousands by filing date | call |
| ST JOE CO | 790148100 | COM | 2,500 | $43,000 | thousands by filing date | put |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 14,851 | $43,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 3,986 | $43,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 1,600 | $43,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 19,782 | $43,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 6,636 | $43,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C302 | S&P SMALLCAP 600 | 784 | $43,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 344 | $42,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 445 | $42,000 | thousands by filing date | |
| VWR CORP | 91843L103 | COM | 1,529 | $42,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 27,054 | $42,000 | thousands by filing date | |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 9,200 | $42,000 | thousands by filing date | put |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 5,500 | $42,000 | thousands by filing date | put |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 5,900 | $42,000 | thousands by filing date | call |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 3,368 | $42,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 5,350 | $42,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 1,025 | $41,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 3,581 | $41,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 9,065 | $41,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 5,371 | $41,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 4,684 | $41,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 5,651 | $41,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 10,075 | $41,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 904 | $41,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 10,768 | $41,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 41,000 | $41,000 | thousands by filing date | principal |
| EQT CORP COM | 26884L109 | Stock | 600 | $40,000 | thousands by filing date | put |
| BRINKER INTL INC COM | 109641100 | Stock | 873 | $40,000 | thousands by filing date | |
| MACERICH CO | 554382101 | COM | 500 | $40,000 | thousands by filing date | put |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 1,452 | $40,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 3,987 | $40,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 300 | $40,000 | thousands by filing date | call |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 2,481 | $40,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 3,400 | $40,000 | thousands by filing date | call |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 761 | $40,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 3,400 | $40,000 | thousands by filing date | put |
| IMATION CORP | 45245A107 | COM | 25,580 | $40,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 1,500 | $40,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 1,235 | $40,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 512 | $40,000 | thousands by filing date | |
| UNITED STS SHORT OIL FD LP | 912613205 | UNITS | 462 | $40,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 1,017 | $40,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 45,000 | $40,000 | thousands by filing date | principal |
| ALCOA INC | 013817309 | DEP SHS 1/10TH | 1,220 | $40,000 | thousands by filing date | |
| ENDOCHOICE HLDGS INC COM | 29272U103 | COM | 7,740 | $40,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 1,000 | $39,000 | thousands by filing date | call |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 1,456 | $39,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 1,125 | $39,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 3,599 | $39,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 3,802 | $39,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 1,787 | $39,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 1,000 | $39,000 | thousands by filing date | put |
| APPROACH RESOURCES INC | 03834A103 | COM | 33,550 | $39,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 18,300 | $39,000 | thousands by filing date | call |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 825 | $39,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 44,000 | $39,000 | thousands by filing date | principal |
| WORKDAY INC CL A | 98138H101 | Stock | 500 | $38,000 | thousands by filing date | call |
| ATI INC COM | 01741R102 | Stock | 2,333 | $38,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 1,272 | $38,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 3,593 | $38,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 500 | $38,000 | thousands by filing date | put |
| MERCER INTL INC | 588056101 | COM | 3,978 | $38,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 852 | $38,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 2,012 | $38,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 750 | $38,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 2,107 | $38,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 956 | $38,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 1,414 | $38,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 1,021 | $38,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 26,956 | $38,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 36,718 | $38,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 20,000 | $38,000 | thousands by filing date | principal |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 2,106 | $37,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 900 | $37,000 | thousands by filing date | put |
| NEKTAR THERAPEUTICS | 640268108 | COM | 2,700 | $37,000 | thousands by filing date | put |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 800 | $37,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 1,015 | $37,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 8,089 | $37,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 2,100 | $37,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 69,000 | $37,000 | thousands by filing date | principal |
| REX ENERGY CORPORATION | 761565100 | COM | 47,899 | $37,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 3,275 | $37,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M415 | GUG BLT2016 HY | 1,440 | $37,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 650 | $36,000 | thousands by filing date | |
| PACKAGING CORP AMER COM | 695156109 | Stock | 600 | $36,000 | thousands by filing date | put |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 1,900 | $36,000 | thousands by filing date | call |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 500 | $36,000 | thousands by filing date | put |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 3,397 | $36,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 2,555 | $36,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 4,100 | $36,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 1,325 | $36,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 2,428 | $36,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 26,805 | $36,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 5,000 | $36,000 | thousands by filing date | put |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 33,000 | $36,000 | thousands by filing date | principal |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 4,664 | $36,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 1,059 | $35,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 892 | $35,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 927 | $35,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 641 | $35,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 1,977 | $35,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 3,900 | $35,000 | thousands by filing date | put |
| RELX NV | 75955B102 | SPONSORED ADR | 2,047 | $35,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 35,300 | $35,000 | thousands by filing date | put |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 16,591 | $35,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 2,274 | $35,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 31,830 | $35,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 11,234 | $35,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 7,700 | $35,000 | thousands by filing date | call |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 2,000 | $35,000 | thousands by filing date | call |
| MECOX LANE LIMITED | 58403M201 | SPON ADR REP 35 | 9,000 | $35,000 | thousands by filing date | |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 59,602 | $35,000 | thousands by filing date | |
| APIGEE CORP COM | 03765N108 | Stock | 4,256 | $35,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502804 | UNIT 11/17/20166 | 312 | $35,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 500 | $34,000 | thousands by filing date | call |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 2,513 | $34,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 2,883 | $34,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 495 | $34,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 100 | $34,000 | thousands by filing date | call |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 2,696 | $34,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 26,475 | $34,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 3,000 | $34,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642106 | COMMON STOCK | 42,923 | $34,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 2,100 | $34,000 | thousands by filing date | call |
| CHIPMOS TECH BERMUDA LTD | G2110R114 | SHS | 1,959 | $34,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 8,625 | $34,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 400 | $34,000 | thousands by filing date | call |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 4,904 | $33,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 3,015 | $33,000 | thousands by filing date | |
| EQUINIX INC COM | 29444U700 | REIT | 100 | $33,000 | thousands by filing date | put |
| EQUINIX INC COM | 29444U700 | REIT | 100 | $33,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 571 | $33,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 1,800 | $33,000 | thousands by filing date | put |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 6,900 | $33,000 | thousands by filing date | call |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 1,057 | $33,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 3,580 | $33,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 7,900 | $33,000 | thousands by filing date | put |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 2,734 | $33,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u753 | INDONESIA ETF | 1,585 | $33,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 9,588 | $33,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 1,000 | $32,000 | thousands by filing date | put |
| WESTLAKE CORPORATION | 960413102 | COM | 700 | $32,000 | thousands by filing date | put |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 1,954 | $32,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 1,090 | $32,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 3,877 | $32,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 1,000 | $32,000 | thousands by filing date | put |
| RENREN INC | 759892102 | SPONSORED ADR | 9,871 | $32,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 1,338 | $32,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 1,792 | $32,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 633 | $32,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 320 | $31,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 2,428 | $31,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 2,242 | $31,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 800 | $31,000 | thousands by filing date | call |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 1,935 | $31,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 5,256 | $31,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 6,036 | $31,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 5,000 | $31,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 4,240 | $31,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 1,050 | $31,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 2,000 | $31,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 1,669 | $31,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 7,920 | $31,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 2,275 | $31,000 | thousands by filing date | |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 2,400 | $31,000 | thousands by filing date | put |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 1,872 | $30,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 1,900 | $30,000 | thousands by filing date | put |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 1,800 | $30,000 | thousands by filing date | put |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 4,400 | $30,000 | thousands by filing date | put |
| COSTAMARE INC | Y1771G102 | SHS | 3,324 | $30,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 993 | $30,000 | thousands by filing date | |
| AARONS INC | 002535300 | COM PAR $0.50 | 1,207 | $30,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 1,856 | $30,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 615 | $30,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 1,064 | $30,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 2,000 | $30,000 | thousands by filing date | put |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 16,461 | $30,000 | thousands by filing date | |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 6,600 | $30,000 | thousands by filing date | call |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,779 | $30,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 1,900 | $30,000 | thousands by filing date | put |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 1,404 | $30,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 1,370 | $30,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 1,922 | $30,000 | thousands by filing date | |
| TYSON FOODS | 902494301 | COM | 402 | $30,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 590 | $29,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 21,197 | $29,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 1,000 | $29,000 | thousands by filing date | put |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 1,620 | $29,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 356 | $29,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 1,400 | $29,000 | thousands by filing date | call |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 6,261 | $29,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 5,371 | $29,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 2,540 | $29,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 21 | $29,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 1,842 | $29,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 2,000 | $29,000 | thousands by filing date | |
| EG DJ EMRG MKT CNSUMR TITA | 268461779 | EGS EMKTCONS ETF | 1,277 | $29,000 | thousands by filing date | |
| VELOCITYSHARES INV VIX SH-TM | 22542D795 | INVR | 1,100 | $29,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 1,112 | $29,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,695 | $29,000 | thousands by filing date | |
| ISHARES INC | 464286368 | MSCI GL SL MET | 3,000 | $29,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 2,100 | $29,000 | thousands by filing date | put |
| TAILORED BRANDS INC | 87403A107 | COM | 1,600 | $29,000 | thousands by filing date | put |
| DRYSHIPS INC | Y2109Q127 | COM NEW | 12,336 | $29,000 | thousands by filing date | call |
| Sierra Oncology, Inc. | 74346L101 | common | 4,258 | $29,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 9,566 | $28,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 583 | $28,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 2,000 | $28,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 1,832 | $28,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 267 | $28,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 2,245 | $28,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 900 | $28,000 | thousands by filing date | put |
| CARRIZO OIL & GAS INC | 144577103 | COM | 900 | $28,000 | thousands by filing date | call |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,477 | $28,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 140,163 | $28,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 2,000 | $28,000 | thousands by filing date | call |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 6,100 | $28,000 | thousands by filing date | put |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 1,900 | $28,000 | thousands by filing date | call |
| VICAL INC | 925602104 | COM | 71,551 | $28,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 2,272 | $28,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 13,100 | $28,000 | thousands by filing date | put |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 325 | $28,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 5,592 | $28,000 | thousands by filing date | |
| SFLY 0.25 5/18 | 82568PAB2 | Bond 30/360P2 U | 28,000 | $28,000 | thousands by filing date | principal |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 273 | $27,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 9,200 | $27,000 | thousands by filing date | call |
| BORGWARNER INC COM | 099724106 | Stock | 700 | $27,000 | thousands by filing date | put |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 100 | $27,000 | thousands by filing date | call |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 767 | $27,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 860 | $27,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 600 | $27,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,912 | $27,000 | thousands by filing date | |
| MICROSEMI CORP | 595137100 | COM | 700 | $27,000 | thousands by filing date | put |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 23,000 | $27,000 | thousands by filing date | principal |
| INFINERA CORP | 45667G103 | COMMON STOCK | 1,700 | $27,000 | thousands by filing date | put |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 1,900 | $27,000 | thousands by filing date | put |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 24,000 | $27,000 | thousands by filing date | principal |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 748,113 | $27,000 | thousands by filing date | call |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 4,481 | $27,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 3,888 | $27,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 69 | $27,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 203 | $27,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A441 | NUVN CALI MUNI | 1,100 | $27,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 24,000 | $27,000 | thousands by filing date | principal |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 850 | $27,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 45,000 | $27,000 | thousands by filing date | principal |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 446 | $27,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 495 | $26,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 1,800 | $26,000 | thousands by filing date | put |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 270 | $26,000 | thousands by filing date | |
| KENNAMETAL INC | 489170100 | COM | 1,157 | $26,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 32,465 | $26,000 | thousands by filing date | |
| MICROSEMI CORP | 595137100 | COM | 686 | $26,000 | thousands by filing date | call |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 742 | $26,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 55,292 | $26,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 700 | $26,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 2,028 | $26,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,750 | $26,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 1,826 | $26,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R762 | PFD CL A 6.875 | 961 | $26,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y205 | PFD STK SER A | 2,132 | $26,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 6,207 | $25,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 1,994 | $25,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 497 | $25,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 400 | $25,000 | thousands by filing date | call |
| IMMUNOMEDICS INC | 452907108 | COM | 10,000 | $25,000 | thousands by filing date | put |
| SEATTLE GENETICS INC | 812578102 | COM | 700 | $25,000 | thousands by filing date | call |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 1,230 | $25,000 | thousands by filing date | |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 581 | $25,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,839 | $25,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 3,100 | $25,000 | thousands by filing date | put |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097713 | PREFERRED STOCK | 1,000 | $25,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 40,100 | $25,000 | thousands by filing date | put |
| MCEWEN MNG INC | 58039P107 | COM | 13,347 | $25,000 | thousands by filing date | |
| NEUSTAR INC | 64126X201 | CL A | 1,000 | $25,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 750 | $25,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 1,622 | $25,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 11,700 | $25,000 | thousands by filing date | call |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 732 | $25,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 8,335 | $25,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 3,332 | $25,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y669 | GARTMAN GLD/EU | 2,000 | $25,000 | thousands by filing date | |
| MANPOWERGROUP INC WIS COM | 56418H100 | Stock | 300 | $24,000 | thousands by filing date | call |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 1,727 | $24,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 9,367 | $24,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 124,000 | $24,000 | thousands by filing date | put |
| ProShares Ultra Short Dow 30 | 74347x112 | COM | 1,520 | $24,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 5,800 | $24,000 | thousands by filing date | call |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 1,282 | $24,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 1,500 | $24,000 | thousands by filing date | put |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 2,562 | $24,000 | thousands by filing date | |
| SWIFT TRANSPORTATION CO | 87074U101 | COM | 1,300 | $24,000 | thousands by filing date | call |
| LinnCo, LLC | 535782106 | LTD | 66,900 | $24,000 | thousands by filing date | call |
| ATMEL CORP | 049513104 | COM | 2,900 | $24,000 | thousands by filing date | put |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 1,608 | $24,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PLC | 780097747 | ADR PREF SHS R | 1,000 | $24,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 3,259 | $24,000 | thousands by filing date | |
| SPI ENERGY CO LTD NEW 2018 | 78470H109 | Common Stock | 4,845 | $24,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 300 | $23,000 | thousands by filing date | call |
| WW GRAINGER INC COM | 384802104 | Stock | 100 | $23,000 | thousands by filing date | call |
| PIMCO MUN INCOME FD | 72200R107 | COM | 1,455 | $23,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,550 | $23,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 300 | $23,000 | thousands by filing date | call |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 1,545 | $23,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 400 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 1,100 | $23,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 200 | $23,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 705 | $23,000 | thousands by filing date | |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 22,800 | $23,000 | thousands by filing date | put |
| AMAYA INC | 02314M108 | COM | 1,675 | $23,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 3,107 | $23,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 700 | $22,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 1,001 | $22,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 200 | $22,000 | thousands by filing date | put |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 4,339 | $22,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-16-000275 | this filing | 2016-05-13 | acceptance time not in the bulk data set |