13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2016-06-30, filed 2016-08-12, with 7,131 holding rows worth $97,965,475,000.
- Accession
- 0000831001-16-000328
- Filer
- CIK 831001
- Filed
- 2016-08-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2016
A holdings report, 14,983 entries on the cover page, a total value of $97,965,475,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $97,965,489,000 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 |
|---|---|---|---|---|---|---|
| IRIDEX CORP | 462684101 | COM | 759 | $11,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 3,000 | $11,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 2,803 | $11,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 964 | $11,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 4,900 | $11,000 | thousands by filing date | call |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 572 | $11,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 1,709 | $11,000 | thousands by filing date | |
| INC RESH HLDGS INC | 45329R109 | CL A | 279 | $11,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 812 | $11,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 791 | $11,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 500 | $11,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 526 | $11,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 544 | $11,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 2,500 | $11,000 | thousands by filing date | put |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 10,376 | $11,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 304 | $11,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 4,500 | $11,000 | thousands by filing date | put |
| DDR CORP | 23317H102 | COM | 600 | $11,000 | thousands by filing date | call |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 7,600 | $11,000 | thousands by filing date | call |
| Ampio Pharmaceuticals | 03209T109 | COM | 8,426 | $11,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 676 | $11,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 761 | $11,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 250 | $11,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 600 | $11,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 416 | $11,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 1,700 | $11,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 1,525 | $11,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 847 | $11,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 587 | $11,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 9,300 | $11,000 | thousands by filing date | call |
| CPI CARD GROUP INC | 12634H101 | COM | 2,228 | $11,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 7,273 | $11,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605124 | SHS | 4,759 | $11,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC COM | 14740B101 | Stock | 11,886 | $11,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 10,000 | $11,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 102 | $10,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 128 | $10,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 600 | $10,000 | thousands by filing date | put |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 1,700 | $10,000 | thousands by filing date | call |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 141 | $10,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F643 | MRNGSTR WDE MOAT | 300 | $10,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 787 | $10,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 1,168 | $10,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 1,000 | $10,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 175 | $10,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 1,450 | $10,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 2,116 | $10,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 1,456 | $10,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 3,569 | $10,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 1,550 | $10,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 9,057 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 195 | $10,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 1,264 | $10,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 945 | $10,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 195 | $10,000 | thousands by filing date | |
| STATE STREET SPDR PORTFOLIO INTERMEDIATE TERM CORPORATE BOND ETF | 78464A433 | ETF | 425 | $10,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 290 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 500 | $10,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 8,031 | $10,000 | thousands by filing date | |
| MICROSEMI CORP | 595137100 | COM | 315 | $10,000 | thousands by filing date | call |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 1,000 | $10,000 | thousands by filing date | call |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 969 | $10,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 4,167 | $10,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 5,800 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M415 | GUG BLT2016 HY | 375 | $10,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 2,337 | $10,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 1,412 | $10,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 19,739 | $10,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 1,379 | $10,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 1,224 | $10,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 111 | $10,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 2,955 | $10,000 | thousands by filing date | call |
| PROSHARES TR II | 74347W361 | VIX STRMFUT ETF | 1,100 | $10,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 384 | $10,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 1,200 | $10,000 | thousands by filing date | call |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 2,500 | $10,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 1,894 | $10,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 481 | $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 |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 8,000 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E176 | GURU INTL IDX | 806 | $10,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 3,400 | $9,000 | thousands by filing date | put |
| TRIMBLE INC COM | 896239100 | Stock | 371 | $9,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 600 | $9,000 | thousands by filing date | put |
| GODADDY INC CL A | 380237107 | Stock | 300 | $9,000 | thousands by filing date | put |
| GODADDY INC CL A | 380237107 | Stock | 300 | $9,000 | thousands by filing date | call |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 496 | $9,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 925 | $9,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 67 | $9,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 1,284 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 145 | $9,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 200 | $9,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 2,115 | $9,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 185 | $9,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 424 | $9,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 1,014 | $9,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 481 | $9,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 312 | $9,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 406 | $9,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 53 | $9,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 3,900 | $9,000 | thousands by filing date | put |
| CARA THERAPEUTICS INC | 140755109 | COM | 1,862 | $9,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 268 | $9,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 1,385 | $9,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 6,469 | $9,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 3,436 | $9,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 249 | $9,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 8,362 | $9,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 4,500 | $9,000 | thousands by filing date | put |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 2,400 | $9,000 | thousands by filing date | call |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 4,300 | $9,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 230 | $9,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 300 | $9,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 5,170 | $9,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 1,132 | $9,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 664 | $9,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 1,865 | $9,000 | thousands by filing date | |
| InterContinental Hotels | 45857p608 | CS | 238 | $9,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 590 | $9,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 10,000 | $9,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 4,627 | $9,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 100 | $8,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 289 | $8,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 500 | $8,000 | thousands by filing date | put |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 1,689 | $8,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 300 | $8,000 | thousands by filing date | call |
| INSULET CORP COM | 45784P101 | Stock | 267 | $8,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 1,121 | $8,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 200 | $8,000 | thousands by filing date | put |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 1,620 | $8,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 1,100 | $8,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 100 | $8,000 | thousands by filing date | call |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 11,438 | $8,000 | thousands by filing date | |
| CATALENT INC USD 0.01 | 148806102 | COM | 353 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 306 | $8,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 848 | $8,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 514 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 119 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 232 | $8,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 110 | $8,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 300 | $8,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 307 | $8,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 490 | $8,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 209 | $8,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 601 | $8,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 2,107 | $8,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 200 | $8,000 | thousands by filing date | put |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 1,152 | $8,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,320 | $8,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 1,032 | $8,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 4,000 | $8,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 10,157 | $8,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 658 | $8,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 5,019 | $8,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 1,120 | $8,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 1,667 | $8,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 700 | $8,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 275 | $8,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 2,485 | $8,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 7,600 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 110 | $8,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 700 | $8,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 5,541 | $8,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 3,800 | $8,000 | thousands by filing date | put |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 4,100 | $8,000 | thousands by filing date | call |
| CHIASMA INC | 16706W102 | COM | 2,899 | $8,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 2,825 | $8,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 637 | $8,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 1,747 | $8,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 1,379 | $8,000 | thousands by filing date | |
| ADEPTUS HEALTH | 006855100 | Common Stock | 158 | $8,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 2,000 | $8,000 | thousands by filing date | |
| Sierra Oncology, Inc. | 74346L101 | common | 4,064 | $8,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 247 | $7,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 210 | $7,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 308 | $7,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 200 | $7,000 | thousands by filing date | call |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 700 | $7,000 | thousands by filing date | put |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 600 | $7,000 | thousands by filing date | call |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 100 | $7,000 | thousands by filing date | put |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 1,000 | $7,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 703 | $7,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 400 | $7,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 545 | $7,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 579 | $7,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 1,189 | $7,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 829 | $7,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 300 | $7,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 1,194 | $7,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 2,916 | $7,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 5,350 | $7,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 500 | $7,000 | thousands by filing date | call |
| AXIALL CORP | 05463D100 | COM | 200 | $7,000 | thousands by filing date | call |
| HARVEST CAP CR CORP | 41753F109 | COM | 538 | $7,000 | thousands by filing date | |
| NEUSTAR INC | 64126X201 | CL A | 300 | $7,000 | thousands by filing date | put |
| PRIMERO MNG CORP | 74164W106 | COM | 3,520 | $7,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 1,200 | $7,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $7,000 | thousands by filing date | call |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 250 | $7,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 336 | $7,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 7,000 | $7,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 100 | $7,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 1,075 | $7,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 1,746 | $7,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 2,000 | $7,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 439 | $7,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC COM PAR | 68232V306 | Stock | 1,187 | $7,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 2,689 | $7,000 | thousands by filing date | |
| MAGELLAN PETE CORP COM NEW | 559091608 | Stock | 5,625 | $7,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 1,241 | $7,000 | thousands by filing date | |
| IDI INC | 44938L108 | COM | 1,511 | $7,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 600 | $6,000 | thousands by filing date | put |
| INTERDIGITAL INC COM | 45867G101 | Stock | 100 | $6,000 | thousands by filing date | put |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 600 | $6,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 1,022 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 286 | $6,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 381 | $6,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 193 | $6,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 105 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 250 | $6,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 2,500 | $6,000 | thousands by filing date | put |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 491 | $6,000 | thousands by filing date | |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 500 | $6,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 430 | $6,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 400 | $6,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 300 | $6,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 200 | $6,000 | thousands by filing date | call |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 674 | $6,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 596 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 222 | $6,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 1,276 | $6,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 461 | $6,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 3,700 | $6,000 | thousands by filing date | put |
| ParkerVision Inc | 701354300 | USD | 2,070 | $6,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 350 | $6,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 845 | $6,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,000 | $6,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 1,919 | $6,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 2,800 | $6,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 1,043 | $6,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 10,200 | $6,000 | thousands by filing date | call |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 4,561 | $6,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 2,630 | $6,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 350 | $6,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 3,511 | $6,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $6,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 409 | $6,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 3,600 | $6,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 1,336 | $6,000 | thousands by filing date | |
| AK STL CORP | 001546AP5 | NOTE 5.000%11/1 | 5,000 | $6,000 | thousands by filing date | principal |
| HORIZON GLOBAL CORP | 44052W104 | COM | 490 | $6,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 1,800 | $6,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 2,868 | $6,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 6,000 | $6,000 | thousands by filing date | principal |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 9,000 | $6,000 | thousands by filing date | principal |
| VINCE HLDG CORP | 92719W108 | COM | 1,080 | $6,000 | thousands by filing date | |
| GLBR 2.25 06/18 | 302693AB2 | Bond 30/360P2 U | 17,000 | $6,000 | thousands by filing date | principal |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 200 | $6,000 | thousands by filing date | put |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 50 | $5,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 260 | $5,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 666 | $5,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 100 | $5,000 | thousands by filing date | call |
| ARBOR REALTY TRUST INC | 038923108 | COM | 680 | $5,000 | thousands by filing date | |
| AGCO CORP | 001084102 | COM | 100 | $5,000 | thousands by filing date | call |
| ROYCE VALUE TRUST | 780910105 | COM | 410 | $5,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 951 | $5,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 573 | $5,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 580 | $5,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 373 | $5,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 89 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 118 | $5,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 471 | $5,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 471 | $5,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 299 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 300 | $5,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 565 | $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 | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 202 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 200 | $5,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 1,200 | $5,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 5,000 | $5,000 | thousands by filing date | principal |
| STATE STREET | 78463X798 | COMMON STOCK | 275 | $5,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 6,000 | $5,000 | thousands by filing date | principal |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 2,072 | $5,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 2,700 | $5,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 151 | $5,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 350 | $5,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 1,288 | $5,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 2,800 | $5,000 | thousands by filing date | put |
| SEACHANGE INTL INC | 811699107 | COM | 1,720 | $5,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 2,086 | $5,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 750 | $5,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 3,700 | $5,000 | thousands by filing date | put |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 367 | $5,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 21,700 | $5,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 333 | $5,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 59 | $5,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 1,062 | $5,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 234 | $5,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 400 | $5,000 | thousands by filing date | call |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 1,000 | $5,000 | thousands by filing date | put |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 48 | $5,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 501 | $5,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 140 | $5,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 332 | $5,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 600 | $5,000 | thousands by filing date | |
| BulletShares 2024 Corporate | 18383M233 | COM | 250 | $5,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 334 | $5,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 2,650 | $5,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 700 | $5,000 | thousands by filing date | |
| CARRIAGE SVCS INC | 143905AM9 | NOTE 2.750% 3/1 | 4,000 | $5,000 | thousands by filing date | principal |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 4,000 | $5,000 | thousands by filing date | principal |
| HALCON RES CORP COM PAR | 40537Q506 | Stock | 10,134 | $5,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 233 | $5,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 151 | $4,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 700 | $4,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 2,000 | $4,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 500 | $4,000 | thousands by filing date | put |
| MASTEC INC COM | 576323109 | Stock | 200 | $4,000 | thousands by filing date | put |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 784 | $4,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 500 | $4,000 | thousands by filing date | put |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 400 | $4,000 | thousands by filing date | call |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 350 | $4,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 100 | $4,000 | thousands by filing date | call |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 61 | $4,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 100 | $4,000 | thousands by filing date | put |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 275 | $4,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,429 | $4,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 485 | $4,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 8,400 | $4,000 | thousands by filing date | call |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 1,500 | $4,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 473 | $4,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 200 | $4,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 100 | $4,000 | thousands by filing date | put |
| ZOES KITCHEN INC | 98979J109 | COM | 100 | $4,000 | thousands by filing date | call |
| 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 | |
| QLOGIC CORP | 747277101 | COM | 300 | $4,000 | thousands by filing date | call |
| RICHMONT MINES INC | 76547T106 | COM | 383 | $4,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 1,306 | $4,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 3,000 | $4,000 | thousands by filing date | |
| SELECT COMFORT CORP | 81616X103 | COM | 200 | $4,000 | thousands by filing date | put |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 200 | $4,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 1,900 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 419 | $4,000 | thousands by filing date | |
| USMD HLDGS INC | 903313104 | COM | 233 | $4,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 200 | $4,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 500 | $4,000 | thousands by filing date | |
| Prism Technologies Group Inc | 74273Y100 | US Small Cap | 14,060 | $4,000 | thousands by filing date | |
| WBMD 1.5 12/20 | 94770VAK8 | Bond 30/360P2 U | 3,000 | $4,000 | thousands by filing date | principal |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 100 | $4,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 336 | $4,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502804 | UNIT 11/17/20166 | 31 | $4,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V200 | CNV PFD STK SR A | 36 | $4,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F858 | Cmn | 200 | $4,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 516 | $3,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 100 | $3,000 | thousands by filing date | put |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 327 | $3,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 120 | $3,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 100 | $3,000 | thousands by filing date | put |
| RAYONIER INC COM | 754907103 | REIT | 100 | $3,000 | thousands by filing date | call |
| CRITEO S A SPONS ADS | 226718104 | ADR | 65 | $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 | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 200 | $3,000 | thousands by filing date | put |
| KEARNY FINL CORP MD | 48716P108 | COM | 258 | $3,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 400 | $3,000 | thousands by filing date | put |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 50 | $3,000 | thousands by filing date | |
| MOELIS & CO | 60786M105 | CL A | 116 | $3,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 591 | $3,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 100 | $3,000 | thousands by filing date | put |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 124 | $3,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 593 | $3,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 2,004 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 100 | $3,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 839 | $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 |
| Gulfport Energy | 402635304 | COM | 100 | $3,000 | thousands by filing date | call |
| Viewra, Inc | 92672L107 | COM | 668 | $3,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 1,113 | $3,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 100 | $3,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 1,400 | $3,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 300 | $3,000 | thousands by filing date | put |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 200 | $3,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 225 | $3,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 1,426 | $3,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 5,968 | $3,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH ETN L | 22542D852 | COM | 159 | $3,000 | thousands by filing date | |
| STATE BANK FINL CORP COM | 856190103 | COM | 167 | $3,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 1,700 | $3,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 900 | $3,000 | thousands by filing date | call |
| GTX INC | 40052B108 | COM | 5,300 | $3,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 234 | $3,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 75 | $3,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 150 | $3,000 | thousands by filing date | |
| TALEN ENERGY CORP | 87422J105 | COM | 200 | $3,000 | thousands by filing date | put |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 200 | $3,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 920 | $3,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 2,700 | $3,000 | thousands by filing date | put |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 297 | $3,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 591 | $3,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 1,440 | $3,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 1,031 | $3,000 | thousands by filing date | |
| DEXTERA SURGICAL INC COM | 252366109 | CS | 1,616 | $3,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q127 | COM NEW | 5,100 | $3,000 | thousands by filing date | put |
| CNOVA ORD | N20947102 | COM | 630 | $3,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 300 | $2,000 | thousands by filing date | call |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 131 | $2,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 200 | $2,000 | thousands by filing date | put |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 85 | $2,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 44 | $2,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 3,864 | $2,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 1,541 | $2,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 157 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 25 | $2,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 100 | $2,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 100 | $2,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 149 | $2,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 110 | $2,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 328 | $2,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 123 | $2,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 159 | $2,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 80 | $2,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 75 | $2,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 55 | $2,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 33 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 56 | $2,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 89 | $2,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 1,500 | $2,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 200 | $2,000 | thousands by filing date | put |
| RENTECH INC | 760112201 | COMMON STOCK | 835 | $2,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 282 | $2,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 200 | $2,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 85 | $2,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 1,530 | $2,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 2,000 | $2,000 | thousands by filing date | principal |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 237 | $2,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 41 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 200 | $2,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 342 | $2,000 | thousands by filing date | |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 46 | $2,000 | thousands by filing date | |
| BROOKFIELD CANADA OFFICE PRO | 112823109 | TR U | 84 | $2,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 75 | $2,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 985 | $2,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 100 | $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 |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 131 | $2,000 | thousands by filing date | |
| Professional Diversity Network | 74312y103 | COM | 4,500 | $2,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 31 | $2,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 25 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 155 | $2,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 215 | $2,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 200 | $2,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 2,000 | $2,000 | thousands by filing date | principal |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 467 | $2,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 1,000 | $2,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 140 | $2,000 | thousands by filing date | |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 2,000 | $2,000 | thousands by filing date | principal |
| SUNEDISON SEMI | Y8213L102 | Common Stock | 276 | $2,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 512 | $2,000 | thousands by filing date | |
| FORM HLDGS CORP COM | 34634E102 | Stock | 835 | $2,000 | thousands by filing date | |
| STONE ENERGY CORP COM NEW | 861642304 | Stock | 200 | $2,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q127 | COM NEW | 3,936 | $2,000 | thousands by filing date | call |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 2,813 | $2,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 35 | $1,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 42 | $1,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 200 | $1,000 | thousands by filing date | put |
| DIANA SHIPPING INC | Y2066G104 | COM | 485 | $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 | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 100 | $1,000 | thousands by filing date | call |
| ETSY INC | 29786A106 | COM | 100 | $1,000 | thousands by filing date | call |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 132 | $1,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 44 | $1,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 41 | $1,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 67 | $1,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 46 | $1,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 500 | $1,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 150 | $1,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 200 | $1,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 74 | $1,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 200 | $1,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 50 | $1,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 50 | $1,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 73 | $1,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 137 | $1,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 400 | $1,000 | thousands by filing date | call |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 70 | $1,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 70 | $1,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 500 | $1,000 | thousands by filing date | put |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 89 | $1,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 103 | $1,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 200 | $1,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 370 | $1,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 400 | $1,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 1,905 | $1,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 1,528 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-16-000328 | this filing | 2016-08-12 | acceptance time not in the bulk data set |