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 |
|---|---|---|---|---|---|---|
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 586 | $5,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 324 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 271 | $5,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 500 | $5,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 76 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y165 | DAILY 500 2X ETF | 148 | $5,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 1,200 | $5,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 135 | $5,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 347 | $5,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 521 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 115 | $5,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 3,959 | $5,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 364 | $5,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 292 | $5,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 135 | $5,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 9,100 | $5,000 | thousands by filing date | put |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 9,100 | $5,000 | thousands by filing date | call |
| Lee Enterprises Inc | 523768109 | COM | 2,700 | $5,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 333 | $5,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 290 | $5,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 300 | $5,000 | thousands by filing date | call |
| ENERGOUS CORP | 29272C103 | COM | 458 | $5,000 | thousands by filing date | |
| U M H PROPERTIES INC | 903002202 | CV RED PFD-A | 185 | $5,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 2,500 | $5,000 | thousands by filing date | put |
| NEUSTAR INC | 64126X201 | CL A | 200 | $5,000 | thousands by filing date | put |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 100 | $5,000 | thousands by filing date | |
| LIFELOCK INC COM | 53224V100 | COM | 400 | $5,000 | thousands by filing date | call |
| DYNAMIC MATLS CORP | 267888105 | COM | 810 | $5,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 367 | $5,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 350 | $5,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 575 | $5,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 378 | $5,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 501 | $5,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 333 | $5,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 344 | $5,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 349 | $5,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 229 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 117 | $5,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 300 | $5,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 222 | $5,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 9,443 | $5,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 48 | $5,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R783 | SOLAR ENRG NEW | 104 | $5,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 501 | $5,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 329 | $5,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 153 | $5,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 263 | $5,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 266 | $5,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 743 | $5,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 9,000 | $5,000 | thousands by filing date | principal |
| GLBR 2.25 06/18 | 302693AB2 | Bond 30/360P2 U | 8,000 | $5,000 | thousands by filing date | principal |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 367 | $5,000 | thousands by filing date | |
| CODE REBEL CORP | 19200J106 | COM | 917 | $5,000 | thousands by filing date | |
| CARDICA INC | 14141R309 | COM NEW | 1,516 | $5,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 151 | $4,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 2,657 | $4,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 400 | $4,000 | thousands by filing date | put |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 1,541 | $4,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 350 | $4,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 543 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 56 | $4,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 2,188 | $4,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 288 | $4,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 673 | $4,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 275 | $4,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 853 | $4,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 240 | $4,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 200 | $4,000 | thousands by filing date | put |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 401 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 48 | $4,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 306 | $4,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 698 | $4,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 500 | $4,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 2,004 | $4,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 295 | $4,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 203 | $4,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 800 | $4,000 | thousands by filing date | put |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 217 | $4,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 500 | $4,000 | thousands by filing date | put |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 790 | $4,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 1,500 | $4,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 1,800 | $4,000 | thousands by filing date | put |
| MERITOR INC | 59001K100 | COMMON STOCK | 500 | $4,000 | thousands by filing date | put |
| GLOBALSTAR INC | 378973408 | COM | 2,500 | $4,000 | thousands by filing date | put |
| FLOTEK INDS INC DEL | 343389102 | COM | 500 | $4,000 | thousands by filing date | put |
| Delta Apparel Inc | 247368103 | COM | 200 | $4,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 323 | $4,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 2,331 | $4,000 | thousands by filing date | |
| ISHARES DOW JONES UBS ROLL S | 45032K102 | SHS BEN INT | 120 | $4,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 1,043 | $4,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 7,300 | $4,000 | thousands by filing date | call |
| SPARTAN MTRS INC | 846819100 | COM | 1,060 | $4,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 300 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INDL SEC | 73935X369 | COM | 88 | $4,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 532 | $4,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 222 | $4,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 352 | $4,000 | thousands by filing date | |
| ENTREE GOLD INC | 29383G100 | COM | 12,433 | $4,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 79 | $4,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 300 | $4,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 92 | $4,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 265 | $4,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 691 | $4,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 179 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 419 | $4,000 | thousands by filing date | |
| Janus Capital | 47102XAH8 | CONV | 3,000 | $4,000 | thousands by filing date | principal |
| MARKET VECTORS ETF TR | 57060U779 | GULF STS ETF | 200 | $4,000 | thousands by filing date | |
| CHINA BAK BATTERY INC | 16936Y209 | COM | 1,556 | $4,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 200 | $4,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C203 | S&P MDCP 400 REV | 91 | $4,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 1,246 | $4,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 3,000 | $4,000 | thousands by filing date | |
| Prism Technologies Group Inc | 74273Y100 | US Small Cap | 14,060 | $4,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605116 | Cmn | 4,779 | $4,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 400 | $3,000 | thousands by filing date | call |
| TARGA RES CORP COM | 87612G101 | Stock | 100 | $3,000 | thousands by filing date | put |
| GENTEX CORP COM | 371901109 | Stock | 200 | $3,000 | thousands by filing date | call |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 77 | $3,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 124 | $3,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 200 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 44 | $3,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 300 | $3,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 100 | $3,000 | thousands by filing date | call |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 100 | $3,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 64 | $3,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 296 | $3,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 487 | $3,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 200 | $3,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 100 | $3,000 | thousands by filing date | put |
| INNOVIVA INC | 45781M101 | COM | 200 | $3,000 | thousands by filing date | put |
| PAR TECHNOLOGY CORP | 698884103 | COM | 500 | $3,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 100 | $3,000 | thousands by filing date | put |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 500 | $3,000 | thousands by filing date | put |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 100 | $3,000 | thousands by filing date | call |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 124 | $3,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 485 | $3,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 300 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 55 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 89 | $3,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 33 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 100 | $3,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 2,000 | $3,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102X105 | COMMON STOCK | 200 | $3,000 | thousands by filing date | put |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 1,000 | $3,000 | thousands by filing date | call |
| TECHNIPFMC PLC | 30249U101 | COM | 100 | $3,000 | thousands by filing date | call |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 500 | $3,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 175 | $3,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 86 | $3,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 3,987 | $3,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 85 | $3,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 1,400 | $3,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 207 | $3,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 400 | $3,000 | thousands by filing date | call |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 500 | $3,000 | thousands by filing date | call |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 72 | $3,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 1,800 | $3,000 | thousands by filing date | put |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 1,100 | $3,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 432 | $3,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $3,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 5,300 | $3,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 1,179 | $3,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 75 | $3,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 1,698 | $3,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 150 | $3,000 | thousands by filing date | |
| AMERICAN ELECTRIC TECHNOLOGIES | 025576109 | COMM | 1,500 | $3,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U308 | MV STEEL INDEX | 136 | $3,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 194 | $3,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 225 | $3,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 98 | $3,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 464 | $3,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 115 | $3,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 1,037 | $3,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 280 | $3,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 228 | $3,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 1,005 | $3,000 | thousands by filing date | |
| SGOCO GROUP LTD | G80751129 | SHS NEW | 865 | $3,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 700 | $3,000 | thousands by filing date | |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 2,000 | $3,000 | thousands by filing date | principal |
| EXXI 3 12/18 | 29274UAB7 | Bond 30/360P2 U | 1,296,000 | $3,000 | thousands by filing date | principal |
| STELLAR BIOTECHNOLOGIES INC NO PAR | 85855A203 | Common Stock | 653 | $3,000 | thousands by filing date | |
| AZURE MIDSTREAM PARTNERS LP COM UNIT | 05501X100 | COMMON | 2,499 | $3,000 | thousands by filing date | |
| OPPENHEIMER REV WEIGHTED ETF | 68386C500 | ADR REV ETF | 97 | $3,000 | thousands by filing date | |
| GREAT BASIN SCIENTIFIC INC | 39013L502 | Cmn | 513 | $3,000 | thousands by filing date | |
| PARAGON SHIPPING INC | Y6728Q145 | CL A NEW | 5,456 | $3,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 700 | $2,000 | thousands by filing date | put |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 100 | $2,000 | thousands by filing date | put |
| RADIAN GROUP INC COM | 750236101 | Stock | 200 | $2,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 25 | $2,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 52 | $2,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 67 | $2,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 100 | $2,000 | thousands by filing date | put |
| MITEK SYS INC | 606710200 | COM NEW | 264 | $2,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 124 | $2,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 44 | $2,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 176 | $2,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 91 | $2,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 1,458 | $2,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 114 | $2,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 161 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 68 | $2,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 80 | $2,000 | thousands by filing date | |
| Morningstar Wide Moat | 57060U134 | Common | 50 | $2,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 72 | $2,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 154 | $2,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 203 | $2,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 240 | $2,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 35 | $2,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 108 | $2,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 12 | $2,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 200 | $2,000 | thousands by filing date | put |
| OWENS RLTY MTG INC | 690828108 | COM | 128 | $2,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 175 | $2,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 52 | $2,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 274 | $2,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 200 | $2,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 3,500 | $2,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 3,923 | $2,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 390 | $2,000 | thousands by filing date | |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 215 | $2,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 4,123 | $2,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 406 | $2,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 300 | $2,000 | thousands by filing date | call |
| SALISBURY BANCORP INC | 795226109 | COM | 62 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739H263 | FUND | 59 | $2,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 4,299 | $2,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 5,400 | $2,000 | thousands by filing date | put |
| Transition Therapeutics, Inc. | 893716209 | COM | 1,478 | $2,000 | thousands by filing date | |
| AXIALL CORP | 05463D100 | COM | 100 | $2,000 | thousands by filing date | put |
| PHARMATHENE INC | 71714G102 | COM | 1,000 | $2,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 206 | $2,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 300 | $2,000 | thousands by filing date | put |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 2,000 | $2,000 | thousands by filing date | principal |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 725 | $2,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 125 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 200 | $2,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 200 | $2,000 | thousands by filing date | put |
| DAKOTA PLAINS | 234255107 | COMMON STOCK | 22,640 | $2,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 1,249 | $2,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 166 | $2,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 141 | $2,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 400 | $2,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 1,000 | $2,000 | thousands by filing date | put |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 46 | $2,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 11,422 | $2,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 99 | $2,000 | thousands by filing date | |
| PUREFUNDS ISE JUNIOR SILV | 30304R308 | COM | 200 | $2,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 100 | $2,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 33 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 90 | $2,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 68 | $2,000 | thousands by filing date | |
| AMTRUST FINANCIAL SERVICES I | 032359AC5 | NOTE 5.500%12/1 | 1,000 | $2,000 | thousands by filing date | principal |
| Professional Diversity Network | 74312y103 | COM | 4,589 | $2,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 4,731 | $2,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 81 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 155 | $2,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 1,728 | $2,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 495 | $2,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 900 | $2,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 2,036 | $2,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 467 | $2,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 2,000 | $2,000 | thousands by filing date | principal |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 39 | $2,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 1,676 | $2,000 | thousands by filing date | |
| AMEDICA CORP COM PAR | 023435209 | Stock | 1,215 | $2,000 | thousands by filing date | |
| CNOVA ORD | N20947102 | COM | 630 | $2,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 2,972 | $2,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055ESC206 | Bond | 46,000 | $2,000 | thousands by filing date | principal |
| YUMA ENERGY INC | 98872E207 | Pref Stk | 651 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K729 | Cmn | 152 | $2,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R247 | HIGH INCOME MLP | 500 | $2,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 48 | $1,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 45 | $1,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 13 | $1,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 40 | $1,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 151 | $1,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 100 | $1,000 | thousands by filing date | put |
| NOMAD FOODS LTD USD ORD SHS | G6564A105 | Stock | 176 | $1,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 650 | $1,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 62 | $1,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 45 | $1,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 48 | $1,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 100 | $1,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 200 | $1,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 50 | $1,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 30 | $1,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 42 | $1,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 59 | $1,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 39 | $1,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 265 | $1,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 54 | $1,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 328 | $1,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 99 | $1,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 60 | $1,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 50 | $1,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 37 | $1,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 40 | $1,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 209 | $1,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 74 | $1,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 139 | $1,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 20 | $1,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 213 | $1,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 705 | $1,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 34 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 25 | $1,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 39 | $1,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 66 | $1,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 80 | $1,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 31 | $1,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 43 | $1,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 167 | $1,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 212 | $1,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 52 | $1,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 32 | $1,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 137 | $1,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 75 | $1,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 69 | $1,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 92 | $1,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 890 | $1,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 3,000 | $1,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 70 | $1,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 473 | $1,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 500 | $1,000 | thousands by filing date | put |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 158 | $1,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 100 | $1,000 | thousands by filing date | call |
| FLOTEK INDS INC DEL | 343389102 | COM | 200 | $1,000 | thousands by filing date | call |
| FONAR CORP | 344437405 | COM NEW | 71 | $1,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 38 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74348A376 | SHRT SMALLCAP60 | 28 | $1,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 813 | $1,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 98 | $1,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 200 | $1,000 | thousands by filing date | put |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 380 | $1,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 43 | $1,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 988 | $1,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 400 | $1,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 1,528 | $1,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 325 | $1,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 100 | $1,000 | thousands by filing date | put |
| QLOGIC CORP | 747277101 | COM | 100 | $1,000 | thousands by filing date | call |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 390 | $1,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 514 | $1,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 85 | $1,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 700 | $1,000 | thousands by filing date | put |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 400 | $1,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 46 | $1,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 289 | $1,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 570 | $1,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 512 | $1,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 14 | $1,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 1,000 | $1,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 781 | $1,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 1,000 | $1,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 110 | $1,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 631 | $1,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 2,500 | $1,000 | thousands by filing date | put |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 200 | $1,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 1,010 | $1,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 1,105 | $1,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 100 | $1,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 1,000 | $1,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 93 | $1,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 23 | $1,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 86 | $1,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 91 | $1,000 | thousands by filing date | |
| PROSHARES SHORT MDCP 400 | 74347R800 | ETF | 38 | $1,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 62 | $1,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 11 | $1,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 20 | $1,000 | thousands by filing date | |
| Jacksonville Bancorp, Inc. (IL) | 46924R106 | Common Stock | 27 | $1,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 552 | $1,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 450 | $1,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 833 | $1,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 30 | $1,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 675 | $1,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 73 | $1,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 69 | $1,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 28 | $1,000 | thousands by filing date | |
| USMD HLDGS INC | 903313104 | COM | 100 | $1,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 58 | $1,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 1,250 | $1,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 551 | $1,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 400 | $1,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 434 | $1,000 | thousands by filing date | |
| ACER THERAPEUTICS INC COM | 68372T301 | Stock | 318 | $1,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 1,000 | $1,000 | thousands by filing date | |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 907 | $1,000 | thousands by filing date | call |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 1,059 | $1,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 207,795 | $1,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 35 | $1,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 346 | $1,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 234 | $1,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 215 | $1,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 691 | $1,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 109 | $1,000 | thousands by filing date | |
| PROSHARES ULTRASHORT MIDCAP 400 ETF | 74348A343 | ETF | 29 | $1,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 29 | $1,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 2,047 | $1,000 | thousands by filing date | |
| ECHELON CORP | 27874N303 | COM NEW | 114 | $1,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 210 | $1,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 49 | $1,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 68 | $1,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 167 | $1,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 506 | $1,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 1,000 | $1,000 | thousands by filing date | principal |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 25 | $1,000 | thousands by filing date | |
| SAMSON OIL&GAS LTD ADR SPONSORED | 796043206 | ADR | 790 | $1,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L100 | COM | 1,201 | $1,000 | thousands by filing date | |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 2,000 | $1,000 | thousands by filing date | principal |
| WPCS INTL INC COM PAR $.0001 N | 92931L401 | Stock | 374 | $1,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 33 | $1,000 | thousands by filing date | |
| HALCON RES CORP COM PAR | 40537Q506 | Stock | 800 | $1,000 | thousands by filing date | put |
| C&J ENERGY SVCS LTD SHS | G3164Q101 | Stock | 600 | $1,000 | thousands by filing date | put |
| TARGACEPT INC | 87611RAA6 | NOTE 2/1 | 540 | $1,000 | thousands by filing date | principal |
| CARE CAP PPTYS INC COM | 055ESC107 | COM | 21,000 | $1,000 | thousands by filing date | principal |
| NEUROMETRIX INC | 641255500 | COM PAR NEW | 800 | $1,000 | thousands by filing date | |
| HERCULES OFFSHORE INC. | 427093307 | COM | 628 | $1,000 | thousands by filing date | |
| VRINGO INC | 92911N302 | Cmn | 843 | $1,000 | thousands by filing date | |
| GLOBEIMMUNE INC | 37957B100 | COM | 584 | $1,000 | thousands by filing date | |
| ABENGOA SA | 00289R201 | SPONS ADR REP B | 1,040 | $1,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AEMETIS INC | 00770K202 | COM NEW | 226 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAMTEK LTD ORD | M20791105 | Stock | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 1,022 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 44 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BEONE MEDICINES LTD SPONSORED ADS | 07725L102 | ADR | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DENISON MINES CORP | 248356107 | COM | 812 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 183 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADMA BIOLOGICS INC | 000899104 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 42 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 38 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 23 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FATE THERAPEUTICS INC | 31189P102 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 93 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TERNIUM SA | 880890108 | SPONSORED ADS | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FS BANCORP INC | 30263Y104 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LCNB CORP | 50181P100 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TECNOGLASS INC | G87264100 | ORD SHS | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VUZIX CORP | 92921W300 | COM NEW | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASTRONOVA INC | 04638F108 | COM | 29 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 61 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ELECTROMED INC | 285409108 | COMMON STOCK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VALUE LINE INC | 920437100 | COMMON STOCK | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 59 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 191 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 34 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BlackRock Muniy Michigan | 09254V105 | Fund | 34 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RESEARCH FRONTIERS INC | 760911107 | COM | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LAKELAND INDS INC | 511795106 | COM | 36 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRIO TECH INTL | 896712205 | COM NEW | 148 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FULL HSE RESORTS INC | 359678109 | COM | 241 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAYS J W INC | 578473100 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| U S GLOBAL INVS INC | 902952100 | CL A | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IRIDEX CORP | 462684101 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COFFEE HLDG CO INC | 192176105 | COM | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 34 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 228 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 33 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |