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 |
|---|---|---|---|---|---|---|
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 2,066 | $22,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 3,300 | $22,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 1,360 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 842 | $22,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 2,373 | $22,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 3,533 | $22,000 | thousands by filing date | |
| Invesco S&P 500 Revenue ETF | 68386C104 | Exchange Traded Fund | 550 | $22,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 1,500 | $22,000 | thousands by filing date | put |
| NEONODE INC | 64051M402 | COM NEW | 10,771 | $22,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 1,000 | $22,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 7,650 | $22,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 1,119 | $22,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 4,486 | $22,000 | thousands by filing date | |
| PROSHARES TR II | 74347W387 | UL DJUBSNATG NEW | 113 | $22,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 4,297 | $22,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 11,826 | $22,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 3,182 | $22,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P509 | SPON ADR NEW2014 | 529 | $22,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 394 | $21,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 700 | $21,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,833 | $21,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 1,500 | $21,000 | thousands by filing date | call |
| IROBOT CORP | 462726100 | COM | 600 | $21,000 | thousands by filing date | put |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 1,363 | $21,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 839 | $21,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 2,895 | $21,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 3,200 | $21,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 10,000 | $21,000 | thousands by filing date | put |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 9,900 | $21,000 | thousands by filing date | call |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 487 | $21,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 39,536 | $21,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 5,700 | $21,000 | thousands by filing date | call |
| Cbs Corporation Cl A New | 124857103 | CLA | 358 | $21,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 18,229 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 419 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 1,463 | $21,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 3,719 | $21,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 23,000 | $21,000 | thousands by filing date | principal |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 22,500 | $21,000 | thousands by filing date | call |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 443 | $20,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 262 | $20,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 725 | $20,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 3,596 | $20,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R866 | INTER MUN BD ACT | 375 | $20,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 351 | $20,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 1,712 | $20,000 | thousands by filing date | |
| UBIQUITI NETWORKS INC | 90347A100 | COM | 600 | $20,000 | thousands by filing date | call |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 964 | $20,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 81,527 | $20,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 145 | $20,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 22,734 | $20,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 10,000 | $20,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U787 | AFRICA ETF | 1,056 | $20,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227AA2 | NOTE 7.000% 4/0 | 20,000 | $20,000 | thousands by filing date | principal |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 3,200 | $20,000 | thousands by filing date | put |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 20,000 | $20,000 | thousands by filing date | principal |
| FXCM INC | 302693205 | Common Stock | 1,850 | $20,000 | thousands by filing date | call |
| PROSHARES ULTRA BLOOMBERG CRUDE OIL | 74347W320 | ETF | 2,200 | $20,000 | thousands by filing date | call |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 205 | $19,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 1,343 | $19,000 | thousands by filing date | |
| RYDER SYS INC COM | 783549108 | Stock | 300 | $19,000 | thousands by filing date | call |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 1,425 | $19,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 10,097 | $19,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 1,052 | $19,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 1,200 | $19,000 | thousands by filing date | call |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 2,407 | $19,000 | thousands by filing date | |
| CABELAS INC | 126804301 | COM | 400 | $19,000 | thousands by filing date | call |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 1,656 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 300 | $19,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 582 | $19,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 2,500 | $19,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,514 | $19,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $19,000 | thousands by filing date | principal |
| SELECT COMFORT CORP | 81616X103 | COM | 1,000 | $19,000 | thousands by filing date | put |
| CREDIT SUISSE NASSAU BRH ETN L | 22542D852 | COM | 1,155 | $19,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 782 | $19,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 1,500 | $19,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 1,232 | $19,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 1,157 | $19,000 | thousands by filing date | |
| JIAYUAN COM INTL LTD | 477374102 | SPONSORED ADR | 2,570 | $19,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 18,695 | $19,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 6,683 | $19,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 2,300 | $19,000 | thousands by filing date | put |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 2,172 | $19,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 3,766 | $19,000 | thousands by filing date | |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 701 | $19,000 | thousands by filing date | |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 5,700 | $19,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 13,200 | $18,000 | thousands by filing date | call |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 300 | $18,000 | thousands by filing date | put |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 2,105 | $18,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 2,100 | $18,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 728 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 1,510 | $18,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 465 | $18,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 3,670 | $18,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 1,400 | $18,000 | thousands by filing date | call |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 2,100 | $18,000 | thousands by filing date | call |
| PIER 1 IMPORTS INC | 720279108 | COM | 2,500 | $18,000 | thousands by filing date | put |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 1,523 | $18,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 66,977 | $18,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 2,700 | $18,000 | thousands by filing date | put |
| VANGUARD | 92205F106 | Domestic Common | 12,500 | $18,000 | thousands by filing date | call |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 2,768 | $18,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 2,787 | $18,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 2,841 | $18,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 26,000 | $18,000 | thousands by filing date | principal |
| NIVALIS THERAPEUTICS INC | 65481J109 | COM | 4,184 | $18,000 | thousands by filing date | |
| TRIMBLE INC COM | 896239100 | Stock | 678 | $17,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 692 | $17,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 1,102 | $17,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 600 | $17,000 | thousands by filing date | call |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 7,429 | $17,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 722 | $17,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 3,300 | $17,000 | thousands by filing date | put |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 2,280 | $17,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 5,900 | $17,000 | thousands by filing date | call |
| SHYD | 57061R486 | ETF | 660 | $17,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 2,000 | $17,000 | thousands by filing date | put |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 31,206 | $17,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 1,190 | $17,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 19,739 | $17,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 1,349 | $17,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 300 | $17,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 1,714 | $17,000 | thousands by filing date | |
| Market Vectors Small Cap India | 57061r551 | COM | 421 | $17,000 | thousands by filing date | |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 6,088 | $17,000 | thousands by filing date | |
| INNOCOLL HLDGS PLC | G4783X105 | SHS | 2,000 | $17,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 490 | $16,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 300 | $16,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 400 | $16,000 | thousands by filing date | |
| SYNAPTICS INC COM | 87157D109 | Stock | 200 | $16,000 | thousands by filing date | call |
| BOX INC CL A | 10316T104 | Stock | 1,300 | $16,000 | thousands by filing date | call |
| GODADDY INC CL A | 380237107 | Stock | 500 | $16,000 | thousands by filing date | call |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 3,950 | $16,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 1,500 | $16,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 1,000 | $16,000 | thousands by filing date | put |
| GREEN PLAINS INC | 393222104 | COM | 1,000 | $16,000 | thousands by filing date | put |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 302 | $16,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 2,273 | $16,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 1,000 | $16,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 1,189 | $16,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 800 | $16,000 | thousands by filing date | call |
| MMA Capital Management LLC | 55315D105 | COM | 1,000 | $16,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 197 | $16,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 6,168 | $16,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 106,000 | $16,000 | thousands by filing date | principal |
| TRONOX LTD | Q9235V101 | SHS CL A | 2,500 | $16,000 | thousands by filing date | put |
| MCDERMOTT INTL INC | 580037109 | COM | 4,000 | $16,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 631 | $16,000 | thousands by filing date | |
| BROOKFIELD TOTAL RETURN FD I | 11283U108 | COM | 680 | $16,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 1,006 | $16,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 500 | $16,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 4,292 | $16,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 2,413 | $16,000 | thousands by filing date | |
| MICRONET ENERTEC TECH | 595117102 | COMMON | 8,000 | $16,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 890 | $16,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 21,686 | $16,000 | thousands by filing date | |
| EBS 2.875 01/21 | 29089QAB1 | Bond 30/360P2 U | 12,000 | $16,000 | thousands by filing date | principal |
| FXCM INC | 302693205 | Common Stock | 1,450 | $16,000 | thousands by filing date | put |
| DEMAND MEDIA INC | 24802N208 | Cmn | 3,291 | $16,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 331 | $15,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 500 | $15,000 | thousands by filing date | put |
| MYRIAD GENETICS INC | 62855J104 | COM | 400 | $15,000 | thousands by filing date | call |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 1,800 | $15,000 | thousands by filing date | put |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 100 | $15,000 | thousands by filing date | put |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 307 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 124 | $15,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,210 | $15,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 4,774 | $15,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 1,900 | $15,000 | thousands by filing date | call |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 2,507 | $15,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 1,571 | $15,000 | thousands by filing date | |
| XUEDA ED GROUP | 98418W109 | SPONSORED ADR | 2,721 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 500 | $15,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 842 | $15,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 3,300 | $15,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 1,618 | $15,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 116 | $15,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 1,100 | $15,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 1,101 | $15,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 505 | $15,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 3,432 | $15,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 17,000 | $15,000 | thousands by filing date | principal |
| APC 7.5 PFD | 032511404 | Preferred Stock | 449 | $15,000 | thousands by filing date | |
| J G WENTWORTH CO CL A | 46618D108 | CL A | 12,177 | $15,000 | thousands by filing date | |
| TOBIRA THERAPEUTICS INC COM | 88883P101 | COM | 1,838 | $15,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 422 | $14,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 900 | $14,000 | thousands by filing date | put |
| STANTEC INC COM | 85472N109 | Stock | 553 | $14,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 1,162 | $14,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 400 | $14,000 | thousands by filing date | call |
| HANESBRANDS INC | 410345102 | COM | 500 | $14,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 434 | $14,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 6,302 | $14,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K281 | DLY EMG MK BL 3X | 268 | $14,000 | thousands by filing date | |
| PROSHARES TR II | 74347W338 | CMN | 262 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 300 | $14,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 1,955 | $14,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 700 | $14,000 | thousands by filing date | put |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 5,558 | $14,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 300 | $14,000 | thousands by filing date | put |
| B/E AEROSPACE INC | 073302101 | COM | 300 | $14,000 | thousands by filing date | call |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 1,900 | $14,000 | thousands by filing date | call |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 500 | $14,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 235 | $14,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D829 | INVRS VIX MDTERM | 350 | $14,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 376 | $14,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 1,138 | $14,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 385 | $14,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 893 | $14,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 12,000 | $14,000 | thousands by filing date | principal |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 14,000 | $14,000 | thousands by filing date | principal |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 4,780 | $14,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 5,427 | $14,000 | thousands by filing date | |
| WOWO LTD | 98212L101 | SPONSORED ADR | 3,467 | $14,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 1,315 | $13,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 200 | $13,000 | thousands by filing date | put |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 3,316 | $13,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 200 | $13,000 | thousands by filing date | call |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 150 | $13,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 902 | $13,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 1,070 | $13,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 500 | $13,000 | thousands by filing date | call |
| AARONS INC | 002535300 | COM PAR $0.50 | 500 | $13,000 | thousands by filing date | put |
| AARONS INC | 002535300 | COM PAR $0.50 | 500 | $13,000 | thousands by filing date | call |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 1,298 | $13,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 381 | $13,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 235 | $13,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 193 | $13,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 517 | $13,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 292 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 340 | $13,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 400 | $13,000 | thousands by filing date | call |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 5,985 | $13,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 204 | $13,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 3,300 | $13,000 | thousands by filing date | put |
| NEW YORK & CO INC | 649295102 | COM | 3,258 | $13,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 7,195 | $13,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 3,026 | $13,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 716 | $13,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 2,000 | $13,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 322 | $13,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 23,972 | $13,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 516 | $13,000 | thousands by filing date | |
| PROSHARES TR II | 74347W361 | VIX STRMFUT ETF | 1,100 | $13,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 3,452 | $13,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 800 | $13,000 | thousands by filing date | call |
| ONCOCYTE CORP | 68235C107 | COM | 2,757 | $13,000 | thousands by filing date | |
| EZCORP INC | 302301AB2 | NOTE 2.125% 6/1 | 20,000 | $13,000 | thousands by filing date | principal |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 650 | $13,000 | thousands by filing date | |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 2,660 | $13,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q127 | COM NEW | 5,669 | $13,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 200 | $12,000 | thousands by filing date | put |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 800 | $12,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 946 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 825 | $12,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 500 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 422 | $12,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 853 | $12,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,400 | $12,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 800 | $12,000 | thousands by filing date | call |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 125 | $12,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 3,600 | $12,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 709 | $12,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 500 | $12,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 16,000 | $12,000 | thousands by filing date | principal |
| DRYSHIPS INC | Y2109Q127 | COM NEW | 5,316 | $12,000 | thousands by filing date | put |
| CALAMOS ETF TR | 12811T100 | FOCUS GROWTH | 1,190 | $12,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 371 | $11,000 | thousands by filing date | |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 157 | $11,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 191 | $11,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 400 | $11,000 | thousands by filing date | call |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 211 | $11,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 4,074 | $11,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 2,085 | $11,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 500 | $11,000 | thousands by filing date | |
| HATTERAS FINL CORP | 41902R103 | COM | 800 | $11,000 | thousands by filing date | call |
| NUVEEN CA DIV ADVANTG MUN FD | 67069X104 | COM | 714 | $11,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 676 | $11,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R403 | EMKT HIYLD BD | 500 | $11,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 2,955 | $11,000 | thousands by filing date | call |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 19,000 | $11,000 | thousands by filing date | principal |
| SONUS NETWORKS INC | 835916503 | COM NEW | 1,400 | $11,000 | thousands by filing date | call |
| CIE 3.125 05/24 | 19075FAB2 | Bond 30/360P2 U | 27,000 | $11,000 | thousands by filing date | principal |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 1,000 | $11,000 | thousands by filing date | put |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 105 | $10,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 192 | $10,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 90 | $10,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 600 | $10,000 | thousands by filing date | call |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 4,200 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 487 | $10,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 1,200 | $10,000 | thousands by filing date | call |
| BROWN FORMAN CORP | 115637100 | CL A | 94 | $10,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 202 | $10,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 513 | $10,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 211 | $10,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 716 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 255 | $10,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 662 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 875 | $10,000 | thousands by filing date | |
| STATE STREET SPDR PORTFOLIO INTERMEDIATE TERM CORPORATE BOND ETF | 78464A433 | ETF | 425 | $10,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 3,000 | $10,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 7,800 | $10,000 | thousands by filing date | put |
| POWERSHARES S&P SMALLCAP LOW | 73937B639 | EXCHANGE TRADED | 277 | $10,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 2,600 | $10,000 | thousands by filing date | put |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 2,352 | $10,000 | thousands by filing date | |
| MKT VECTORS EMRG MKT LCL C | 57060U522 | ETF | 540 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 269 | $10,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 7,000 | $10,000 | thousands by filing date | call |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 120 | $10,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 552 | $10,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 2,100 | $10,000 | thousands by filing date | put |
| POWERSHARES GLOBAL ETF TRUST | 73936T433 | WK VRDO TX FR | 401 | $10,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 8,600 | $10,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 384 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 847 | $10,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 403 | $10,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 4,900 | $10,000 | thousands by filing date | put |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 2,644 | $10,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 1,046 | $10,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 10,000 | $10,000 | thousands by filing date | principal |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 620 | $10,000 | thousands by filing date | |
| EASTERLY ACQUISITION CORP | 27616L102 | COM | 1,000 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E176 | GURU INTL IDX | 806 | $10,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 10,000 | $10,000 | thousands by filing date | |
| MAXPOINT INTERACTIVE INC | 57777M102 | Cmn | 5,602 | $10,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 88 | $9,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 800 | $9,000 | thousands by filing date | put |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 700 | $9,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 300 | $9,000 | thousands by filing date | call |
| ROYCE VALUE TRUST | 780910105 | COM | 777 | $9,000 | thousands by filing date | |
| SANDERSON FARMS | 800013104 | COM | 100 | $9,000 | thousands by filing date | call |
| INTERPUBLIC GROUP COS | 460690100 | COM | 400 | $9,000 | thousands by filing date | call |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 812 | $9,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 1,550 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 311 | $9,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 1,163 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 500 | $9,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 1,100 | $9,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 9,161 | $9,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 200 | $9,000 | thousands by filing date | call |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 268 | $9,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 2,284 | $9,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 1,385 | $9,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 10,000 | $9,000 | thousands by filing date | principal |
| QLIK TECHNOLOGIES INC | 74733T105 | COM | 300 | $9,000 | thousands by filing date | put |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 383 | $9,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 3,000 | $9,000 | thousands by filing date | put |
| Ampio Pharmaceuticals | 03209T109 | COM | 4,017 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 207 | $9,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 111 | $9,000 | thousands by filing date | |
| AMERICAN FARMLA | 02589Y100 | Common Stock | 1,500 | $9,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 100 | $8,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 269 | $8,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 100 | $8,000 | thousands by filing date | call |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 200 | $8,000 | thousands by filing date | put |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 200 | $8,000 | thousands by filing date | call |
| GOGO INC | 38046C109 | COM | 700 | $8,000 | thousands by filing date | put |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 915 | $8,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 434 | $8,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 898 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 306 | $8,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 749 | $8,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 721 | $8,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 9,057 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 218 | $8,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 531 | $8,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 110 | $8,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 825 | $8,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 300 | $8,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 738 | $8,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 600 | $8,000 | thousands by filing date | call |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 10,000 | $8,000 | thousands by filing date | principal |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 1,250 | $8,000 | thousands by filing date | |
| TECHNIPFMC PLC | 30249U101 | COM | 300 | $8,000 | thousands by filing date | put |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 600 | $8,000 | thousands by filing date | call |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 100 | $8,000 | thousands by filing date | put |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 180 | $8,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 900 | $8,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 1,505 | $8,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 1,000 | $8,000 | thousands by filing date | put |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 286 | $8,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 539 | $8,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 336 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 110 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 468 | $8,000 | thousands by filing date | |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 416 | $8,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 500 | $8,000 | thousands by filing date | put |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 7,273 | $8,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 200 | $8,000 | thousands by filing date | put |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 8,000 | $8,000 | thousands by filing date | principal |
| MANULIFE FINL CORP | 56501R106 | COM | 500 | $7,000 | thousands by filing date | call |
| EXELIXIS INC COM | 30161Q104 | Stock | 1,700 | $7,000 | thousands by filing date | put |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 100 | $7,000 | thousands by filing date | call |
| NISOURCE INC COM | 65473P105 | Stock | 300 | $7,000 | thousands by filing date | call |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 312 | $7,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 1,053 | $7,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 3,789 | $7,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 1,309 | $7,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 1,202 | $7,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 500 | $7,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 568 | $7,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 485 | $7,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 450 | $7,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 109 | $7,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 600 | $7,000 | thousands by filing date | put |
| OXBRIDGE RE HLDGS LTD | G6856M114 | *W EXP 03/26/202 | 11,354 | $7,000 | thousands by filing date | call |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 300 | $7,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 307 | $7,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 929 | $7,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 300 | $7,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 45 | $7,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 1,300 | $7,000 | thousands by filing date | call |
| STATE STREET | 78463X798 | COMMON STOCK | 375 | $7,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BULL 3X ETF | 25490K323 | ETF | 269 | $7,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 2,095 | $7,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 945 | $7,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,000 | $7,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 6,000 | $7,000 | thousands by filing date | principal |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 2,700 | $7,000 | thousands by filing date | put |
| EMAGIN CORP | 29076N206 | COM | 4,000 | $7,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 10,435 | $7,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 19,668 | $7,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 2,326 | $7,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 8,900 | $7,000 | thousands by filing date | call |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 300 | $7,000 | thousands by filing date | put |
| GSE SYS INC | 36227k106 | COM | 2,630 | $7,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 6,396 | $7,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 415 | $7,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 547 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K356 | OIL GAS BL 3X SH | 127 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 184 | $7,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC SHS NEW 2014 | Y2187A127 | Stock | 19,001 | $7,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 2,027 | $7,000 | thousands by filing date | |
| Carbylan Therapeutics Inc. | 141384107 | COM | 10,150 | $7,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 104 | $6,000 | thousands by filing date | |
| PACKAGING CORP AMER COM | 695156109 | Stock | 100 | $6,000 | thousands by filing date | call |
| INVESCO LTD SHS | G491BT108 | Stock | 200 | $6,000 | thousands by filing date | put |
| MASTEC INC COM | 576323109 | Stock | 300 | $6,000 | thousands by filing date | put |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 754 | $6,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 100 | $6,000 | thousands by filing date | call |
| INTERDIGITAL INC COM | 45867G101 | Stock | 100 | $6,000 | thousands by filing date | put |
| BURLINGTON STORES INC COM | 122017106 | Stock | 100 | $6,000 | thousands by filing date | call |
| CRITEO S A SPONS ADS | 226718104 | ADR | 147 | $6,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 921 | $6,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 381 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 124 | $6,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 491 | $6,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 542 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 430 | $6,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 479 | $6,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 400 | $6,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 1,030 | $6,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 500 | $6,000 | thousands by filing date | put |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 200 | $6,000 | thousands by filing date | call |
| SOUFUN HOLDINGS LTD | 836034108 | COMMON STOCK-FO | 1,000 | $6,000 | thousands by filing date | call |
| JANUS CAPITAL GROUP INC | 47102X105 | COMMON STOCK | 400 | $6,000 | thousands by filing date | call |
| Hugoton Royalty Trust | 444717102 | COM | 4,291 | $6,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 5,370 | $6,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 398 | $6,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 692 | $6,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 6,047 | $6,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 5,987 | $6,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 300 | $6,000 | thousands by filing date | call |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $6,000 | thousands by filing date | call |
| LIFELOCK INC COM | 53224V100 | COM | 500 | $6,000 | thousands by filing date | put |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 22,336 | $6,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 2,252 | $6,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 393 | $6,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 250 | $6,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 400 | $6,000 | thousands by filing date | call |
| MARKET VECTORS | 57061R791 | ETF TR PFD SEC EXFINL | 285 | $6,000 | thousands by filing date | |
| Constellation Brands Inc Cl B | 21036P207 | Com | 38 | $6,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 345 | $6,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 2,750 | $6,000 | thousands by filing date | |
| ISRA VANECK VECTORS ETF TR | 57061R676 | ETF | 200 | $6,000 | thousands by filing date | |
| FXCM INC | 302693205 | Common Stock | 554 | $6,000 | thousands by filing date | |
| MAGELLAN PETE CORP COM NEW | 559091608 | Stock | 6,038 | $6,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 119 | $6,000 | thousands by filing date | |
| ISHARES TR | 46434VAJ9 | Cmn | 246 | $6,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 80 | $5,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 339 | $5,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 700 | $5,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 100 | $5,000 | thousands by filing date | put |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 663 | $5,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 56 | $5,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 124 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 250 | $5,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 202 | $5,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 310 | $5,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 345 | $5,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 341 | $5,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 346 | $5,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 464 | $5,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 320 | $5,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 373 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y876 | DAIL HEAL BU ETF | 180 | $5,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 100 | $5,000 | thousands by filing date | put |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 727 | $5,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 223 | $5,000 | 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 |