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 |
|---|---|---|---|---|---|---|
| COUNTY BANCORP INC | 221907108 | COM | 1,480 | $30,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 273 | $29,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 270 | $29,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 2,649 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 400 | $29,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 1,831 | $29,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 1,500 | $29,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 929 | $29,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 1,500 | $29,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 955 | $29,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 1,329 | $29,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 2,692 | $29,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 1,002 | $29,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 1,218 | $29,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 2,823 | $29,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 982 | $29,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,420 | $29,000 | thousands by filing date | |
| MICROSEMI CORP | 595137100 | COM | 700 | $29,000 | thousands by filing date | put |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 15,300 | $29,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 18,679 | $29,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 32,498 | $29,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 32,200 | $29,000 | thousands by filing date | call |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 629 | $29,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 600 | $29,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 2,854 | $29,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 800 | $29,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 5,000 | $29,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 247 | $28,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 461 | $28,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 1,832 | $28,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 1,529 | $28,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 6,169 | $28,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 1,783 | $28,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 609 | $28,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 6,000 | $28,000 | thousands by filing date | call |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 3,888 | $28,000 | thousands by filing date | |
| SELECT COMFORT CORP | 81616X103 | COM | 1,300 | $28,000 | thousands by filing date | call |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 4,421 | $28,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 7,612 | $28,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 24,000 | $28,000 | thousands by filing date | principal |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 1,516 | $28,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 3,685 | $28,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 4,329 | $28,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 1,873 | $28,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 1,100 | $27,000 | thousands by filing date | put |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 1,739 | $27,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 1,905 | $27,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 666 | $27,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 2,436 | $27,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 2,500 | $27,000 | thousands by filing date | put |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 1,200 | $27,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 458 | $27,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 779 | $27,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 732 | $27,000 | thousands by filing date | |
| RELX NV | 75955B102 | SPONSORED ADR | 1,534 | $27,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 2,700 | $27,000 | thousands by filing date | call |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 4,827 | $27,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 6,954 | $27,000 | thousands by filing date | |
| HYD | 92189F361 | ETF | 833 | $27,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 5,565 | $27,000 | thousands by filing date | |
| EG DJ EMRG MKT CNSUMR TITA | 268461779 | EGS EMKTCONS ETF | 1,100 | $27,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 3,759 | $27,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 2,133 | $27,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 27,000 | $27,000 | thousands by filing date | principal |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 4,559 | $27,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y669 | GARTMAN GLD/EU | 2,000 | $27,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 950 | $26,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 434 | $26,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 1,727 | $26,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 4,444 | $26,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 525 | $26,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 3,167 | $26,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 1,168 | $26,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 2,298 | $26,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 2,077 | $26,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 3,600 | $26,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 718 | $26,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 38,473 | $26,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 9,104 | $26,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 2,800 | $26,000 | thousands by filing date | put |
| ZIX CORP | 98974P100 | COM | 6,214 | $26,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 799 | $26,000 | thousands by filing date | |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 2,000 | $26,000 | thousands by filing date | call |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 580 | $25,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 500 | $25,000 | thousands by filing date | put |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 1,250 | $25,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 13,824 | $25,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 879 | $25,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,565 | $25,000 | thousands by filing date | |
| AARONS INC | 002535300 | COM PAR $0.50 | 1,000 | $25,000 | thousands by filing date | put |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 1,343 | $25,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 1,550 | $25,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 7,355 | $25,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 643 | $25,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 4,561 | $25,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 1,250 | $25,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 6,495 | $25,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y371 | DLY S&P 500 BEAR | 2,000 | $25,000 | thousands by filing date | call |
| SCORPIO BULKERS INC | Y7546A122 | COM | 7,053 | $25,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 1,000 | $24,000 | thousands by filing date | call |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 350 | $24,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 2,100 | $24,000 | thousands by filing date | call |
| PIMCO MUN INCOME FD | 72200R107 | COM | 1,455 | $24,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 188 | $24,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 440 | $24,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 1,300 | $24,000 | thousands by filing date | put |
| UMH PPTYS INC | 903002103 | COM | 1,979 | $24,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,715 | $24,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 2,683 | $24,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 850 | $24,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 1,545 | $24,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,514 | $24,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 3,034 | $24,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 1,800 | $24,000 | thousands by filing date | call |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 1,828 | $24,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 760 | $24,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 2,700 | $24,000 | thousands by filing date | call |
| IMPERVA INC | 45321L100 | COM | 440 | $24,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 889 | $24,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 7,154 | $24,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 2,000 | $24,000 | thousands by filing date | put |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 5,700 | $24,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 2,574 | $24,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 720 | $23,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 637 | $23,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 1,637 | $23,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 1,700 | $23,000 | thousands by filing date | call |
| MINDBODY INC | 60255W105 | COM CL A | 1,183 | $23,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 2,100 | $23,000 | thousands by filing date | call |
| IMAX CORP | 45245E109 | COM | 800 | $23,000 | thousands by filing date | put |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 2,000 | $23,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 890 | $23,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 756 | $23,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 637 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 1,100 | $23,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 2,967 | $23,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 245 | $23,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 4,545 | $23,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 25,000 | $23,000 | thousands by filing date | principal |
| MCDERMOTT INTL INC | 580037109 | COM | 4,600 | $23,000 | thousands by filing date | put |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 1,000 | $23,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 6,761 | $23,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 13,910 | $23,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 1,822 | $23,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 1,490 | $23,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 830 | $22,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 396 | $22,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 100 | $22,000 | thousands by filing date | call |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 854 | $22,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 617 | $22,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 1,764 | $22,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 12,700 | $22,000 | thousands by filing date | call |
| COMMUNITY USD0.01 | 20369C106 | COM | 1,019 | $22,000 | thousands by filing date | |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 500 | $22,000 | thousands by filing date | call |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 424 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 842 | $22,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 400 | $22,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 1,460 | $22,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,447 | $22,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP | 78388J106 | COMMON STOCK | 200 | $22,000 | thousands by filing date | call |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 12,933 | $22,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 2,000 | $22,000 | thousands by filing date | put |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 1,559 | $22,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 1,607 | $22,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 5,952 | $22,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 1,213 | $22,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 3,666 | $22,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 737 | $22,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 2,455 | $22,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 1,400 | $22,000 | thousands by filing date | put |
| INSTRUCTURE INC | 45781U103 | COM | 862 | $22,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 863 | $22,000 | thousands by filing date | |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 1,700 | $22,000 | thousands by filing date | put |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 443 | $21,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 1,691 | $21,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R866 | INTER MUN BD ACT | 375 | $21,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 2,800 | $21,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 1,000 | $21,000 | thousands by filing date | |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 949 | $21,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 828 | $21,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 200 | $21,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 1,561 | $21,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 520 | $21,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 450 | $21,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 2,500 | $21,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,000 | $21,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 3,200 | $21,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 2,669 | $21,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 7,027 | $21,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 1,733 | $21,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 700 | $21,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 659 | $21,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 3,659 | $21,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 1,936 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 419 | $21,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 3,380 | $21,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 2,121 | $21,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 1,088 | $21,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 1,298 | $21,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 3,474 | $21,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 28,000 | $21,000 | thousands by filing date | principal |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 1,404 | $21,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 5,049 | $21,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 6,128 | $21,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 3,143 | $21,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 725 | $20,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 500 | $20,000 | thousands by filing date | put |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 605 | $20,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 665 | $20,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 2,557 | $20,000 | thousands by filing date | |
| UMB FINL CORP | 902788108 | COM | 343 | $20,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 2,417 | $20,000 | thousands by filing date | |
| MOHAWK INDS INC | 608190104 | COM | 100 | $20,000 | thousands by filing date | call |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 1,269 | $20,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 1,181 | $20,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 1,200 | $20,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 1,322 | $20,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 824 | $20,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 700 | $20,000 | thousands by filing date | call |
| AVANTAX INC | 095229100 | COMMON STOCK | 1,800 | $20,000 | thousands by filing date | call |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 1,058 | $20,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 8,335 | $20,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 1,516 | $20,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 1,623 | $20,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 988 | $20,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 4,000 | $20,000 | thousands by filing date | |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 23,000 | $20,000 | thousands by filing date | principal |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 4,209 | $19,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 1,391 | $19,000 | thousands by filing date | |
| PAPA JOHNS INTL INC | 698813102 | COM | 240 | $19,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 1,724 | $19,000 | thousands by filing date | |
| TERADATA CORP DEL | 88076W103 | COM | 600 | $19,000 | thousands by filing date | call |
| NV5 HOLDINGS, INC | 62945V109 | COM | 599 | $19,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 335 | $19,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 456 | $19,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 3,670 | $19,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 1,403 | $19,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 3,480 | $19,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 10,900 | $19,000 | thousands by filing date | put |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 7,200 | $19,000 | thousands by filing date | call |
| COTT CORP QUE | 22163N106 | COM | 1,311 | $19,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 1,100 | $19,000 | thousands by filing date | put |
| VIVUS INC | 928551100 | COM | 16,400 | $19,000 | thousands by filing date | call |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,028 | $19,000 | thousands by filing date | |
| PERFORMANCE SPORTS GROUP LTD | 71377G100 | COM | 4,590 | $19,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 11,300 | $19,000 | thousands by filing date | call |
| DIREXION SHS ETF TR | 25490K570 | DAILY GOLD MINER | 1,000 | $19,000 | thousands by filing date | call |
| HARBORONE BANCORP INC | 41165F101 | COM | 1,183 | $19,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 845 | $19,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 490 | $18,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 1,100 | $18,000 | thousands by filing date | call |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 2,200 | $18,000 | thousands by filing date | put |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 2,361 | $18,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 1,979 | $18,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 1,063 | $18,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 962 | $18,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 941 | $18,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 1,800 | $18,000 | thousands by filing date | put |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 5,160 | $18,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 22,053 | $18,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 611 | $18,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 2,549 | $18,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 9,633 | $18,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 634 | $18,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 1,000 | $18,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 1,158 | $18,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 1,595 | $18,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 876 | $18,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 2,000 | $18,000 | thousands by filing date | call |
| NOBILIS HEALTH CORP | 65500B103 | COM | 5,407 | $18,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 827 | $18,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 1,671 | $18,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 5,507 | $18,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 22,500 | $18,000 | thousands by filing date | call |
| TUBEMOGUL INC COM | 898570106 | Stock | 1,912 | $18,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 700 | $18,000 | thousands by filing date | |
| ENDOCHOICE HLDGS INC COM | 29272U103 | COM | 2,275 | $18,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 400 | $17,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 400 | $17,000 | thousands by filing date | |
| UNITED BANKSHARES INC WEST VA COM | 909907107 | Stock | 454 | $17,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 1,976 | $17,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 747 | $17,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 4,800 | $17,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F387 | SHRT HGH YLD MUN | 660 | $17,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 295 | $17,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 2,177 | $17,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 1,333 | $17,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,428 | $17,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 1,100 | $17,000 | thousands by filing date | put |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,479 | $17,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 465 | $17,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 500 | $17,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 2,137 | $17,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 1,400 | $17,000 | thousands by filing date | call |
| FLOTEK INDS INC DEL | 343389102 | COM | 1,200 | $17,000 | thousands by filing date | call |
| VIRNETX HLDG CORP | 92823T108 | COM | 5,500 | $17,000 | thousands by filing date | put |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 1,304 | $17,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 5,238 | $17,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 3,020 | $17,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 1,076 | $17,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 4,076 | $17,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 2,427 | $17,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 3,374 | $17,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 5,020 | $17,000 | thousands by filing date | put |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 100 | $16,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 7,100 | $16,000 | thousands by filing date | call |
| BOSTON BEER INC CL A | 100557107 | Stock | 100 | $16,000 | thousands by filing date | put |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 248 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 360 | $16,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 329 | $16,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 978 | $16,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 1,000 | $16,000 | thousands by filing date | call |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 501 | $16,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 745 | $16,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 2,300 | $16,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 900 | $16,000 | thousands by filing date | call |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 975 | $16,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 550 | $16,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 1,000 | $16,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 1,203 | $16,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 5,844 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 700 | $16,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,210 | $16,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 3,227 | $16,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 2,263 | $16,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $16,000 | thousands by filing date | principal |
| CVR Partners, LP | 126633106 | LTD | 3,000 | $16,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 26,950 | $16,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 100 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 1,000 | $16,000 | thousands by filing date | call |
| ISHARES INC MSCI ITALY CAP | 464286855 | ETF | 1,418 | $16,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 1,978 | $16,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 18,884 | $16,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 2,500 | $16,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 235 | $16,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 264 | $16,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 1,025 | $16,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 4,641 | $16,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 2,900 | $16,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 1,571 | $16,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 16,000 | $16,000 | thousands by filing date | principal |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 17,000 | $16,000 | thousands by filing date | principal |
| FXCM INC | 302693205 | Common Stock | 1,850 | $16,000 | thousands by filing date | call |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 300 | $15,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 1,400 | $15,000 | thousands by filing date | put |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 1,750 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 750 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 288 | $15,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 1,158 | $15,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 832 | $15,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 836 | $15,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 1,973 | $15,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 1,045 | $15,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 2,633 | $15,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 554 | $15,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 5,000 | $15,000 | thousands by filing date | call |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 1,568 | $15,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 800 | $15,000 | thousands by filing date | call |
| MYOKARDIA INC | 62857M105 | COM | 924 | $15,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 688 | $15,000 | thousands by filing date | |
| INC RESH HLDGS INC | 45329R109 | CL A | 329 | $15,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 5,364 | $15,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 5,109 | $15,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 275 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 500 | $15,000 | thousands by filing date | |
| BROOKFIELD TOTAL RETURN FD I | 11283U108 | COM | 680 | $15,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 4,292 | $15,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 2,605 | $15,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 1,101 | $15,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 1,200 | $15,000 | thousands by filing date | put |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 4,861 | $15,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 897 | $15,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 934 | $15,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 877 | $15,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 17,000 | $15,000 | thousands by filing date | principal |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 4,520 | $15,000 | thousands by filing date | call |
| ENTELLUS MED INC | 29363K105 | COM | 659 | $15,000 | thousands by filing date | |
| MATADOR RES CO COM | 576485205 | Stock | 584 | $14,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 162 | $14,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 5,577 | $14,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 100 | $14,000 | thousands by filing date | call |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 1,321 | $14,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 1,029 | $14,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 1,211 | $14,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 653 | $14,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 1,395 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 450 | $14,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 320 | $14,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 811 | $14,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 788 | $14,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 1,200 | $14,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 288 | $14,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AC3 | NOTE 1.750%12/0 | 6,000 | $14,000 | thousands by filing date | principal |
| LIFELOCK INC COM | 53224V100 | COM | 800 | $14,000 | thousands by filing date | call |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 6,298 | $14,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 6,295 | $14,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 800 | $14,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 6,500 | $14,000 | thousands by filing date | call |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 9,000 | $14,000 | thousands by filing date | principal |
| MICRONET ENERTEC TECH | 595117102 | COMMON | 8,000 | $14,000 | thousands by filing date | |
| AMAYA INC | 02314M108 | COM | 878 | $14,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 889 | $14,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 1,010 | $14,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 994 | $14,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 864 | $14,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 1,454 | $14,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 650 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 555 | $14,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102103 | COM | 6,086 | $14,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 621 | $13,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 1,200 | $13,000 | thousands by filing date | call |
| SEMTECH CORP COM | 816850101 | Stock | 455 | $13,000 | thousands by filing date | |
| HEXCEL CORP NEW | 428291108 | COM | 300 | $13,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 2,000 | $13,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 1,700 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 825 | $13,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 481 | $13,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 3,000 | $13,000 | thousands by filing date | put |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 1,068 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 500 | $13,000 | thousands by filing date | |
| ENERGEN CORP | 29265N108 | COM | 225 | $13,000 | thousands by filing date | |
| MICROSEMI CORP | 595137100 | COM | 315 | $13,000 | thousands by filing date | call |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 1,647 | $13,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 300 | $13,000 | thousands by filing date | call |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 3,478 | $13,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 600 | $13,000 | thousands by filing date | put |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 1,000 | $13,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 106,000 | $13,000 | thousands by filing date | principal |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 600 | $13,000 | thousands by filing date | call |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 3,467 | $13,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 1,500 | $13,000 | thousands by filing date | put |
| ATHERSYS INC | 04744L106 | COM | 6,245 | $13,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 3,475 | $13,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 200 | $13,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 716 | $13,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 620 | $13,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 863 | $13,000 | thousands by filing date | |
| FXCM INC | 302693205 | Common Stock | 1,450 | $13,000 | thousands by filing date | put |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 8,000 | $13,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 230 | $12,000 | thousands by filing date | |
| KINSALECAPGROUPINC | 49714P108 | STOK | 540 | $12,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 623 | $12,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 3,074 | $12,000 | thousands by filing date | |
| SPS COMM INC COM | 78463M107 | Stock | 162 | $12,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 2,000 | $12,000 | thousands by filing date | call |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 1,138 | $12,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 1,236 | $12,000 | thousands by filing date | |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 255 | $12,000 | thousands by filing date | |
| LIVANOVA PLC | G5509L101 | SHS | 199 | $12,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 2,745 | $12,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 800 | $12,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 670 | $12,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 382 | $12,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 800 | $12,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 900 | $12,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 500 | $12,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 670 | $12,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 793 | $12,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 597 | $12,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 116 | $12,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 2,212 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 875 | $12,000 | thousands by filing date | |
| Mkt Vctrs J P Mrgn Em | 92189F494 | COM | 645 | $12,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 502 | $12,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 3,950 | $12,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 8,631 | $12,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 490 | $12,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 53 | $12,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 466 | $12,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 1,966 | $12,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 500 | $12,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 746,147 | $12,000 | thousands by filing date | call |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 10,157 | $12,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 25,100 | $12,000 | thousands by filing date | call |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 120 | $12,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 1,463 | $12,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 4,000 | $12,000 | thousands by filing date | principal |
| KONA GRILL INC | 50047H201 | COM | 935 | $12,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 6,713 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 847 | $12,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 711 | $12,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 4,470 | $12,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 1,527 | $12,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 3,929 | $12,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 100 | $11,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 192 | $11,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 4,900 | $11,000 | thousands by filing date | put |
| TIPTREE INC | 88822Q103 | COM | 1,846 | $11,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 641 | $11,000 | thousands by filing date | |
| COMMERCE BANCSHARES INC | 200525103 | COM | 220 | $11,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 175 | $11,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 1,550 | $11,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 941 | $11,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 689 | $11,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 801 | $11,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 408 | $11,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 852 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W349 | PUTWRITE STRAT | 420 | $11,000 | thousands by filing date | |
| ARRIS INTL INC SHS | G0551A103 | SHS | 400 | $11,000 | thousands by filing date | call |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 1,129 | $11,000 | thousands by filing date |
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 |