13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-10, with 7,113 holding rows worth $107,017,134,000.
- Accession
- 0000831001-16-000370
- Filer
- CIK 831001
- Filed
- 2016-11-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 15,060 entries on the cover page, a total value of $107,017,134,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $107,017,134,000 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 |
|---|---|---|---|---|---|---|
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 2,300 | $64,000 | thousands by filing date | put |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 4,600 | $64,000 | thousands by filing date | call |
| OWENS CORNING NEW | 690742101 | COM | 1,200 | $64,000 | thousands by filing date | put |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 6,390 | $64,000 | thousands by filing date | |
| MYRIAD GENETICS INC | 62855J104 | COM | 3,100 | $64,000 | thousands by filing date | put |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 64,000 | $64,000 | thousands by filing date | principal |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 2,116 | $64,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 9,252 | $64,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 10,000 | $64,000 | thousands by filing date | put |
| INVENSENSE INC | 46123D205 | COM | 8,646 | $64,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 15,495 | $64,000 | thousands by filing date | |
| LIFELOCK INC COM | 53224V100 | COM | 3,800 | $64,000 | thousands by filing date | put |
| TRC COS INC | 872625108 | COM | 7,423 | $64,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 9,500 | $64,000 | thousands by filing date | call |
| TEXAS ROADHOUSE INC COM | 882681109 | Stock | 1,630 | $63,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 2,105 | $63,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 500 | $63,000 | thousands by filing date | put |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 5,342 | $63,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 3,221 | $63,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 1,414 | $63,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 3,898 | $63,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 6,900 | $62,000 | thousands by filing date | put |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 13,601 | $62,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 2,570 | $62,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 1,879 | $62,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 500 | $62,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 4,719 | $62,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 50,000 | $62,000 | thousands by filing date | principal |
| FIVE9 INC | 338307101 | COM | 3,948 | $61,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 3,900 | $61,000 | thousands by filing date | call |
| DEXCOM INC COM | 252131107 | Stock | 700 | $61,000 | thousands by filing date | call |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 8,300 | $61,000 | thousands by filing date | put |
| BAR HBR BANKSHARES | 066849100 | COM | 1,677 | $61,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 2,590 | $61,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 3,125 | $61,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 3,075 | $61,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 59,676 | $61,000 | thousands by filing date | |
| NEUSTAR INC | 64126X201 | CL A | 2,300 | $61,000 | thousands by filing date | put |
| SENOMYX INC | 81724Q107 | COM | 14,300 | $61,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 16,762 | $61,000 | thousands by filing date | |
| BLACK KNIGHT INC | 09214X100 | COM | 1,498 | $61,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 2,556 | $60,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 4,400 | $60,000 | thousands by filing date | call |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 900 | $60,000 | thousands by filing date | call |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 1,300 | $60,000 | thousands by filing date | call |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 2,422 | $60,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 2,481 | $60,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 97,300 | $60,000 | thousands by filing date | call |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 1,200 | $60,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 3,200 | $60,000 | thousands by filing date | call |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 3,791 | $60,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 2,162 | $60,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 9,393 | $60,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J116 | PFD CONV SER A | 73 | $60,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 11,365 | $60,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 6,413 | $59,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 1,200 | $59,000 | thousands by filing date | put |
| NEWS CORP NEW | 65249B208 | CL B | 4,182 | $59,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 1,100 | $59,000 | thousands by filing date | call |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 2,600 | $59,000 | thousands by filing date | put |
| WHITESTONE REIT | 966084204 | COM | 4,225 | $59,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 9,365 | $59,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 12,412 | $59,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 1,938 | $59,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 2,328 | $59,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,324 | $59,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 2,706 | $59,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 36,400 | $59,000 | thousands by filing date | call |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 4,000 | $59,000 | thousands by filing date | |
| VIRGIN AMER INC | 92765X208 | COM VTG | 1,100 | $59,000 | thousands by filing date | put |
| UCP INC - CL A | 90265Y106 | Common Stock | 6,709 | $59,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 6,261 | $58,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 4,199 | $58,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 3,114 | $58,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 9,593 | $58,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 1,000 | $58,000 | thousands by filing date | put |
| BROOKDALE SR LIVING INC | 112463104 | COM | 3,337 | $58,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 2,063 | $58,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 1,875 | $58,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 4,626 | $58,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 3,812 | $58,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 3,385 | $58,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 4,486 | $58,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 4,000 | $58,000 | thousands by filing date | put |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 3,100 | $58,000 | thousands by filing date | put |
| M B T FINANCIAL CORP | 578877102 | Stock | 6,365 | $58,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 6,366 | $57,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 13,300 | $57,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 5,138 | $57,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 53,500 | $57,000 | thousands by filing date | put |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 6,500 | $57,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 2,224 | $57,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 1,800 | $56,000 | thousands by filing date | put |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 200 | $56,000 | thousands by filing date | call |
| IDEXX LABS INC COM | 45168D104 | Stock | 500 | $56,000 | thousands by filing date | call |
| MODINE MFG CO COM | 607828100 | Stock | 4,714 | $56,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 4,306 | $56,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 48,793 | $56,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 3,684 | $56,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 34,484 | $56,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 2,165 | $56,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 2,209 | $56,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 6,000 | $56,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 1,938 | $55,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 1,629 | $55,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 5,365 | $55,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 6,641 | $55,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 2,400 | $55,000 | thousands by filing date | put |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 30,800 | $55,000 | thousands by filing date | call |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 6,200 | $55,000 | thousands by filing date | call |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 2,881 | $55,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 14,138 | $55,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 1,969 | $55,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 50,000 | $55,000 | thousands by filing date | principal |
| INTERPUBLIC GROUP COS | 460690100 | COM | 2,400 | $54,000 | thousands by filing date | call |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 6,425 | $54,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 800 | $54,000 | thousands by filing date | put |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 1,951 | $54,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 2,296 | $54,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 17,600 | $54,000 | thousands by filing date | call |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 45,000 | $54,000 | thousands by filing date | principal |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 13,300 | $54,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 2,100 | $54,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 3,137 | $54,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 5,990 | $54,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 53,000 | $54,000 | thousands by filing date | principal |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 3,600 | $54,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 8,394 | $53,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 3,533 | $53,000 | thousands by filing date | |
| INTERXION HOLDING N.V | N47279109 | SHS | 1,473 | $53,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 3,952 | $53,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 1,890 | $53,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 15,786 | $53,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 12,979 | $53,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 6,458 | $53,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 20,448 | $53,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 14,035 | $53,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 2,019 | $53,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 2,200 | $53,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 40 | $52,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 3,103 | $52,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 2,969 | $52,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 1,027 | $51,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 1,604 | $51,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 1,476 | $51,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 9,900 | $51,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 5,749 | $51,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 3,000 | $51,000 | thousands by filing date | put |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 1,530 | $51,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 10,800 | $51,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 5,041 | $51,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 960 | $50,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 1,300 | $50,000 | thousands by filing date | call |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 902 | $50,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 3,450 | $50,000 | thousands by filing date | |
| NOVANTA INC | 67000B104 | COM | 2,881 | $50,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 364 | $50,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 4,234 | $50,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 9,419 | $50,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 1,637 | $50,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 2,727 | $50,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF FD | 73936G308 | S&P 500 BUYWRT | 2,393 | $50,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 2,360 | $50,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 1,552 | $50,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 7,926 | $50,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 6,628 | $49,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 2,605 | $49,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 1,000 | $49,000 | thousands by filing date | put |
| KADANT INC | 48282T104 | COM | 940 | $49,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 7,074 | $49,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 746 | $49,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 3,125 | $49,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 1,775 | $49,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 1,921 | $49,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 3,800 | $49,000 | thousands by filing date | call |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 2,800 | $49,000 | thousands by filing date | call |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 7,039 | $49,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 2,498 | $49,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 6,446 | $48,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 1,600 | $48,000 | thousands by filing date | put |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 4,400 | $48,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 1,365 | $48,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 1,500 | $48,000 | thousands by filing date | put |
| LCNB CORP | 50181P100 | COM | 2,622 | $48,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 2,908 | $48,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 1,643 | $48,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 3,314 | $48,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 19,706 | $48,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 459 | $48,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 5,200 | $48,000 | thousands by filing date | put |
| SPARTAN MTRS INC | 846819100 | COM | 4,989 | $48,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 429 | $48,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 12,200 | $48,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 7,646 | $48,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 603 | $47,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 13,896 | $47,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 500 | $47,000 | thousands by filing date | call |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 465 | $47,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 500 | $47,000 | thousands by filing date | call |
| NOVOCURE LTD | G6674U108 | ORD SHS | 5,435 | $47,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 1,724 | $47,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 2,229 | $47,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 3,622 | $47,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 1,146 | $47,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 2,210 | $47,000 | thousands by filing date | |
| GENERAL GROWTH PPTYS INC NEW | 370023103 | COM | 1,700 | $47,000 | thousands by filing date | call |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 2,017 | $47,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 3,324 | $47,000 | thousands by filing date | |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 700 | $46,000 | thousands by filing date | put |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 864 | $46,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 305 | $46,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 1,699 | $46,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 1,073 | $46,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 2,381 | $46,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 1,200 | $46,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 4,100 | $46,000 | thousands by filing date | put |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 2,757 | $46,000 | thousands by filing date | |
| BUFFALO WILD WINGS INC | 119848109 | COMMON STOCK | 325 | $46,000 | thousands by filing date | |
| LIFELOCK INC COM | 53224V100 | COM | 2,740 | $46,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 2,063 | $46,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 1,705 | $46,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 1,715 | $46,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 3,700 | $46,000 | thousands by filing date | call |
| CIM COML TR CORP | 125525105 | COM | 3,000 | $46,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 5,000 | $45,000 | thousands by filing date | call |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 3,918 | $45,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 2,930 | $45,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 4,142 | $45,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 6,066 | $45,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 1,149 | $45,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 5,850 | $45,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 1,520 | $45,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 103 | $45,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 32,863 | $45,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 45,000 | $45,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 3,850 | $45,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 12,800 | $44,000 | thousands by filing date | call |
| GENTEX CORP COM | 371901109 | Stock | 2,500 | $44,000 | thousands by filing date | put |
| WINGSTOP INC COM | 974155103 | Stock | 1,501 | $44,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 536 | $44,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 886 | $44,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 697 | $44,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 1,165 | $44,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 2,000 | $44,000 | thousands by filing date | call |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 2,377 | $44,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 6,423 | $44,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 1,295 | $44,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 1,100 | $44,000 | thousands by filing date | put |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 2,999 | $44,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 500 | $44,000 | thousands by filing date | put |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 18,869 | $44,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 9,192 | $44,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 1,000 | $44,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 10,723 | $44,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 20,308 | $44,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 1,626 | $43,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 3,187 | $43,000 | thousands by filing date | |
| MANPOWERGROUP INC WIS COM | 56418H100 | Stock | 600 | $43,000 | thousands by filing date | put |
| WIX COM LTD SHS | M98068105 | Stock | 980 | $43,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 1,272 | $43,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 900 | $43,000 | thousands by filing date | put |
| MYRIAD GENETICS INC | 62855J104 | COM | 2,100 | $43,000 | thousands by filing date | call |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 600 | $43,000 | thousands by filing date | put |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 5,250 | $43,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 1,880 | $43,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 2,274 | $43,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 600 | $43,000 | thousands by filing date | call |
| Apollo Global Management | 037612306 | COM | 2,400 | $43,000 | thousands by filing date | put |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 15,028 | $43,000 | thousands by filing date | |
| CUTWATER SELECT INCOME FD | 232229104 | COM | 2,106 | $43,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 1,923 | $43,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 3,269 | $43,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 3,000 | $43,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 5,500 | $43,000 | thousands by filing date | call |
| Vanguard Materials ETF | 92204A801 | SHS | 396 | $42,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 364 | $42,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 257 | $42,000 | thousands by filing date | |
| TRINET GROUP INC COM | 896288107 | Stock | 1,927 | $42,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 400 | $42,000 | thousands by filing date | put |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 3,794 | $42,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 808 | $42,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 9,000 | $42,000 | thousands by filing date | call |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 1,140 | $42,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 786 | $42,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 2,870 | $42,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 1,452 | $42,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 37,097 | $42,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 1,257 | $42,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 2,382 | $42,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 3,562 | $42,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 2,230 | $42,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 7,094 | $42,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 2,000 | $42,000 | thousands by filing date | put |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 4,800 | $42,000 | thousands by filing date | call |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 2,796 | $42,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 3,277 | $42,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 862 | $41,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 1,087 | $41,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 9,172 | $41,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 1,500 | $41,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 4,077 | $41,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 22,060 | $41,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 2,642 | $41,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 6,591 | $41,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 2,700 | $41,000 | thousands by filing date | call |
| SILVER STD RES INC | 82823L106 | COM | 3,384 | $41,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 1,235 | $41,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 1,442 | $41,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 2,000 | $41,000 | thousands by filing date | put |
| ACTUA CORPORATION | 005094107 | COM | 3,164 | $41,000 | thousands by filing date | |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 785 | $40,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 1,572 | $40,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 707 | $40,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 4,869 | $40,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 10,337 | $40,000 | thousands by filing date | |
| ISHARES TR | 46434V639 | CUR HD EURZN ETF | 1,613 | $40,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 1,349 | $40,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 1,626 | $40,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 1,400 | $40,000 | thousands by filing date | put |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 12,400 | $40,000 | thousands by filing date | call |
| BOINGO WIRELESS INC | 09739C102 | COM | 3,875 | $40,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 10,500 | $40,000 | thousands by filing date | call |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 1,650 | $40,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 2,267 | $40,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 650 | $39,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 1,946 | $39,000 | thousands by filing date | |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 600 | $39,000 | thousands by filing date | call |
| SUNRUN INC | 86771W105 | COM | 6,035 | $39,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 2,400 | $39,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 3,594 | $39,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 4,400 | $39,000 | thousands by filing date | call |
| CITIZENS INC | 174740100 | COMMON STOCK | 4,219 | $39,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 8,033 | $39,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 10,197 | $39,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 18,999 | $39,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,629 | $39,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 15,470 | $39,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 5,600 | $39,000 | thousands by filing date | put |
| GODADDY INC CL A | 380237107 | Stock | 1,100 | $38,000 | thousands by filing date | put |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 1,300 | $38,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 400 | $38,000 | thousands by filing date | call |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 1,240 | $38,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 1,619 | $38,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 9,281 | $38,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 3,804 | $38,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 2,380 | $38,000 | thousands by filing date | |
| VELOCITYSHARES INV VIX SH-TM | 22542D795 | INVR | 1,000 | $38,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 4,802 | $38,000 | thousands by filing date | |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 4,968 | $38,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 13,782 | $38,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 4,600 | $38,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 2,188 | $37,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 1,642 | $37,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 1,146 | $37,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 800 | $37,000 | thousands by filing date | call |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 3,031 | $37,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 1,635 | $37,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 1,058 | $37,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 4,017 | $37,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 906 | $37,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 2,900 | $37,000 | thousands by filing date | call |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 4,327 | $37,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 2,177 | $37,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 1,483 | $37,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 6,123 | $37,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 3,673 | $37,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 11,826 | $37,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 2,776 | $37,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC COM | 14740B101 | Stock | 22,390 | $37,000 | thousands by filing date | |
| EQUINIX INC COM | 29444U700 | REIT | 100 | $36,000 | thousands by filing date | call |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 700 | $36,000 | thousands by filing date | put |
| TEXTRON INC COM | 883203101 | Stock | 900 | $36,000 | thousands by filing date | put |
| VALVOLINE INC COM | 92047W101 | Stock | 1,539 | $36,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 1,416 | $36,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 955 | $36,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 1,971 | $36,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 900 | $36,000 | thousands by filing date | call |
| RADWARE LTD | M81873107 | COMMON STOCK | 2,650 | $36,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 1,398 | $36,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 989 | $36,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 953 | $36,000 | thousands by filing date | |
| DELEK US HOLDINGS INC | 246647101 | COMMON STOCK | 2,083 | $36,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 6,600 | $36,000 | thousands by filing date | call |
| ENERGOUS CORP | 29272C103 | COM | 1,817 | $36,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 14,800 | $36,000 | thousands by filing date | call |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 5,426 | $36,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 1,540 | $36,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 5,300 | $36,000 | thousands by filing date | put |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 4,393 | $36,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 1,338 | $36,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 1,937 | $35,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 1,420 | $35,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 2,238 | $35,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 5,650 | $35,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 1,963 | $35,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 2,623 | $35,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 1,500 | $35,000 | thousands by filing date | call |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 15,700 | $35,000 | thousands by filing date | call |
| INFINERA CORP | 45667G103 | COMMON STOCK | 3,900 | $35,000 | thousands by filing date | put |
| PICO HLDGS INC | 693366205 | COM NEW | 2,915 | $35,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 3,137 | $35,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 3,000 | $35,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 1,549 | $35,000 | thousands by filing date | |
| ISHARES INC | 464286368 | MSCI GL SL MET | 3,000 | $35,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C302 | S&P SMALLCAP 600 | 590 | $35,000 | thousands by filing date | |
| COTIVITI HLDGS INC | 22164K101 | COM | 1,035 | $35,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 4,100 | $34,000 | thousands by filing date | call |
| SITEONE LANDSCAPE SUPPLY INC | 82982L103 | COM | 955 | $34,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 5,353 | $34,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 4,574 | $34,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 7,575 | $34,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 2,000 | $34,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 6,373 | $34,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 1,000 | $34,000 | thousands by filing date | put |
| MCDERMOTT INTL INC | 580037109 | COM | 6,700 | $34,000 | thousands by filing date | call |
| DWS Mun Income Tr | 25160C106 | COM | 2,400 | $34,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 5,077 | $33,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 3,483 | $33,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 2,242 | $33,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 421 | $33,000 | thousands by filing date | |
| FIRST HAWAIIAN INC | 32051X108 | COM | 1,226 | $33,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 1,957 | $33,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 2,010 | $33,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 902 | $33,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 693 | $33,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 1,232 | $33,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 960 | $33,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 800 | $33,000 | thousands by filing date | call |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 1,810 | $33,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 10,592 | $33,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 4,700 | $33,000 | thousands by filing date | call |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 5,936 | $33,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 4,460 | $33,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 987 | $33,000 | thousands by filing date | |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 2,186 | $33,000 | thousands by filing date | |
| LIBERTY INTERACTIVE LLC | 530610AC8 | DEB 0.750 3/3 | 26,000 | $33,000 | thousands by filing date | principal |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 26,000 | $33,000 | thousands by filing date | principal |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 7,922 | $33,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 300 | $32,000 | thousands by filing date | put |
| VERACYTE INC COM | 92337F107 | Stock | 4,150 | $32,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 4,000 | $32,000 | thousands by filing date | call |
| LEMAITRE VASCULAR INC | 525558201 | COM | 1,609 | $32,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 3,000 | $32,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 9,800 | $32,000 | thousands by filing date | call |
| CARRIZO OIL & GAS INC | 144577103 | COM | 800 | $32,000 | thousands by filing date | call |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 1,343 | $32,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 3,457 | $32,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 2,002 | $32,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 69,697 | $32,000 | thousands by filing date | |
| NEUSTAR INC | 64126X201 | CL A | 1,200 | $32,000 | thousands by filing date | call |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 3,640 | $32,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 1,359 | $32,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 3,316 | $32,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 2,597 | $32,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 4,003 | $31,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 6,300 | $31,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 900 | $31,000 | thousands by filing date | call |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 600 | $31,000 | thousands by filing date | call |
| BOSTON BEER INC CL A | 100557107 | Stock | 200 | $31,000 | thousands by filing date | call |
| SPOK HLDGS INC COM | 84863T106 | Stock | 1,766 | $31,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 1,600 | $31,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 1,350 | $31,000 | thousands by filing date | |
| HELEN OF TROY CORP LTD | G4388N106 | COM | 352 | $31,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 2,601 | $31,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 1,948 | $31,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 18,429 | $31,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 2,800 | $31,000 | thousands by filing date | call |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 14,063 | $31,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 7,300 | $31,000 | thousands by filing date | call |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 1,404 | $31,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 2,300 | $31,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 13,645 | $31,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 6,732 | $31,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 1,961 | $31,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 9,912 | $31,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 1,332 | $30,000 | thousands by filing date | |
| ACADIA HEALTHCARE COMPANY INC COM | 00404A109 | Stock | 600 | $30,000 | thousands by filing date | put |
| DOMINOS PIZZA INC COM | 25754A201 | Stock | 200 | $30,000 | thousands by filing date | call |
| BLOCK INC CL A | 852234103 | Stock | 2,515 | $30,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 5,382 | $30,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,664 | $30,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 261 | $30,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 2,608 | $30,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 405 | $30,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 800 | $30,000 | thousands by filing date | call |
| THL CR SR LN FD | 87244R103 | COM | 1,804 | $30,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 4,117 | $30,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 1,165 | $30,000 | thousands by filing date | |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 968 | $30,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 2,000 | $30,000 | thousands by filing date | call |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 2,168 | $30,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 5,025 | $30,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 7,089 | $30,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 3,130 | $30,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 750 | $30,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 4,278 | $30,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 4,400 | $30,000 | thousands by filing date | call |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 325 | $30,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 5,406 | $30,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 2,500 | $30,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-16-000370 | this filing | 2016-11-10 | acceptance time not in the bulk data set |