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 |
|---|---|---|---|---|---|---|
| CRAWFORD & CO | 224633107 | COM | 983 | $11,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 1,275 | $11,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP | 78388J106 | COMMON STOCK | 100 | $11,000 | thousands by filing date | put |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 6,217 | $11,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 2,717 | $11,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 600 | $11,000 | thousands by filing date | put |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 2,400 | $11,000 | thousands by filing date | put |
| Galena Biopharma Inc | 363256108 | COM | 30,071 | $11,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 10,000 | $11,000 | thousands by filing date | put |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 2,533 | $11,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 250 | $11,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 1,700 | $11,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 4,445 | $11,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 384 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E689 | MSCI PAKISTAN | 700 | $11,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C401 | ULTRA DIVID REV | 350 | $11,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 2,361 | $11,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 3,000 | $11,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 4,719 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E176 | GURU INTL IDX | 806 | $11,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 633 | $11,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 200 | $10,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 175 | $10,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 128 | $10,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 2,679 | $10,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 486 | $10,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 2,141 | $10,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 1,180 | $10,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 752 | $10,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 2,560 | $10,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 76 | $10,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 818 | $10,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 573 | $10,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 154 | $10,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 191 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 400 | $10,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 645 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 850 | $10,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 600 | $10,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 1,455 | $10,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 195 | $10,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 3,000 | $10,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 485 | $10,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102X105 | COMMON STOCK | 700 | $10,000 | thousands by filing date | put |
| ORCHID IS CAP INC | 68571X103 | COM | 1,000 | $10,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 4,000 | $10,000 | thousands by filing date | |
| B/E AEROSPACE INC | 073302101 | COM | 200 | $10,000 | thousands by filing date | put |
| ANTARES PHARMA INC | 036642106 | COM | 6,162 | $10,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 1,010 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 400 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M415 | GUG BLT2016 HY | 375 | $10,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 1,147 | $10,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 13,700 | $10,000 | thousands by filing date | call |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 9,000 | $10,000 | thousands by filing date | principal |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 1,279 | $10,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 490 | $10,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 655 | $10,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 2,443 | $10,000 | thousands by filing date | |
| InterContinental Hotels | 45857p608 | CS | 244 | $10,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 590 | $10,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 850 | $10,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 10,000 | $10,000 | thousands by filing date | principal |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 7,263 | $10,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 210 | $9,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 100 | $9,000 | thousands by filing date | put |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 500 | $9,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 145 | $9,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 977 | $9,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 519 | $9,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 1,717 | $9,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 185 | $9,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 200 | $9,000 | thousands by filing date | put |
| STAMPS COM INC | 852857200 | COM NEW | 100 | $9,000 | thousands by filing date | put |
| RADIANT LOGISTICS INC | 75025X100 | COM | 3,080 | $9,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 515 | $9,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 794 | $9,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 240 | $9,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 532 | $9,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 1,000 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 232 | $9,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 300 | $9,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 700 | $9,000 | thousands by filing date | call |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 300 | $9,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 618 | $9,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 2,283 | $9,000 | thousands by filing date | |
| ORBOTECH LTD | M75253100 | ORD | 296 | $9,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 100 | $9,000 | thousands by filing date | call |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 394 | $9,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 2,233 | $9,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 4,100 | $9,000 | thousands by filing date | put |
| ParkerVision Inc | 701354300 | USD | 2,070 | $9,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 400 | $9,000 | thousands by filing date | put |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 1,971 | $9,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 1,385 | $9,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 660 | $9,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 1,900 | $9,000 | thousands by filing date | call |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 6,000 | $9,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 800 | $9,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 3,000 | $9,000 | thousands by filing date | call |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 1,500 | $9,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 1,120 | $9,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 230 | $9,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 100 | $9,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 111 | $9,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 316 | $9,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 270 | $9,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 400 | $9,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 7,600 | $9,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 1,316 | $9,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 600 | $9,000 | thousands by filing date | put |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 2,653 | $9,000 | thousands by filing date | |
| Sierra Oncology, Inc. | 74346L101 | common | 4,891 | $9,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 100 | $8,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 500 | $8,000 | thousands by filing date | put |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 500 | $8,000 | thousands by filing date | call |
| HORMEL FOODS CORP COM | 440452100 | Stock | 200 | $8,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 89 | $8,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 3,000 | $8,000 | thousands by filing date | call |
| FOX FACTORY HLDG CORP | 35138V102 | COM | 354 | $8,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 100 | $8,000 | thousands by filing date | call |
| EDITAS MEDICINE INC | 28106W103 | COM | 611 | $8,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 225 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 119 | $8,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 600 | $8,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 110 | $8,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 780 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 203 | $8,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 307 | $8,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 1,210 | $8,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 883 | $8,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 118 | $8,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 839 | $8,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 2,798 | $8,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 1,900 | $8,000 | thousands by filing date | put |
| TIDEWATER INC | 886423102 | COM | 2,700 | $8,000 | thousands by filing date | put |
| TIDEWATER INC | 886423102 | COM | 2,800 | $8,000 | thousands by filing date | call |
| HEALTHSOUTH CORP | 421924309 | COM NEW | 213 | $8,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 2,630 | $8,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $8,000 | thousands by filing date | call |
| FBR & CO | 30247C400 | COM NEW | 610 | $8,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 1,897 | $8,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 4,050 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 110 | $8,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 300 | $8,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 469 | $8,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 1,000 | $8,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 5,314 | $8,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 997 | $8,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 1,009 | $7,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 100 | $7,000 | thousands by filing date | put |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 250 | $7,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 100 | $7,000 | thousands by filing date | put |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 912 | $7,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 200 | $7,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 1,022 | $7,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 200 | $7,000 | thousands by filing date | put |
| OMEROS CORP | 682143102 | COM | 599 | $7,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 1,000 | $7,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 2,349 | $7,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 949 | $7,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 189 | $7,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 400 | $7,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 491 | $7,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 579 | $7,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 565 | $7,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 400 | $7,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 700 | $7,000 | thousands by filing date | call |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 384 | $7,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 966 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 135 | $7,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 300 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 222 | $7,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 505 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 100 | $7,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 500 | $7,000 | thousands by filing date | put |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 472 | $7,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 487 | $7,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 633 | $7,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 2,916 | $7,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 5,500 | $7,000 | thousands by filing date | put |
| Lee Enterprises Inc | 523768109 | COM | 1,800 | $7,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 929 | $7,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 555 | $7,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 2,331 | $7,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 981 | $7,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 558 | $7,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 2,553 | $7,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 3,000 | $7,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 4,244 | $7,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 490 | $7,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 1,000 | $7,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 211 | $7,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 336 | $7,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 7,000 | $7,000 | thousands by filing date | principal |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 279 | $7,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 1,513 | $7,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 541 | $7,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 1,520 | $7,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 434 | $7,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 566 | $7,000 | thousands by filing date | |
| JARDEN CORP | 471109AL2 | NOTE 1.500 6/1 | 4,000 | $7,000 | thousands by filing date | principal |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 700 | $6,000 | thousands by filing date | |
| PEGASYSTEMS INC COM | 705573103 | Stock | 202 | $6,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 185 | $6,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 100 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 290 | $6,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 438 | $6,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 381 | $6,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 300 | $6,000 | thousands by filing date | call |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 153 | $6,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 1,100 | $6,000 | thousands by filing date | |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 76 | $6,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 400 | $6,000 | thousands by filing date | call |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 38 | $6,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 105 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 250 | $6,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 384 | $6,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 300 | $6,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 341 | $6,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 523 | $6,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 332 | $6,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 484 | $6,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 100 | $6,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 400 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 200 | $6,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 631 | $6,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 1,313 | $6,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 168 | $6,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,000 | $6,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 300 | $6,000 | thousands by filing date | put |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 417 | $6,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 5,167 | $6,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 750 | $6,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 440 | $6,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $6,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 600 | $6,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 279 | $6,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 250 | $6,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 250 | $6,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 1,084 | $6,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 2,023 | $6,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 377 | $6,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 600 | $6,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 1,359 | $6,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 1,183 | $6,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 1,000 | $6,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 1,380 | $6,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 1,296 | $6,000 | thousands by filing date | call |
| ELBIT IMAGING LTD | M37605124 | SHS | 1,586 | $6,000 | thousands by filing date | |
| PROSHARES VIX SHORT-TERM FUTURES ETF | 74347W262 | ETF | 220 | $6,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 50 | $5,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 63 | $5,000 | thousands by filing date | |
| MONOLITHIC PWR SYS INC COM | 609839105 | Stock | 67 | $5,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 400 | $5,000 | thousands by filing date | put |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 250 | $5,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 666 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 251 | $5,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 100 | $5,000 | thousands by filing date | call |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 187 | $5,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 680 | $5,000 | thousands by filing date | |
| AGCO CORP | 001084102 | COM | 100 | $5,000 | thousands by filing date | put |
| ROYCE VALUE TRUST | 780910105 | COM | 395 | $5,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 955 | $5,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 1,500 | $5,000 | thousands by filing date | put |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 100 | $5,000 | thousands by filing date | put |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 400 | $5,000 | thousands by filing date | call |
| CHEGG INC | 163092109 | COM | 655 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 118 | $5,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 977 | $5,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,274 | $5,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 250 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 170 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 300 | $5,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 681 | $5,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 565 | $5,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 757 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 271 | $5,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 372 | $5,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 518 | $5,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 500 | $5,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 202 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 100 | $5,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 400 | $5,000 | thousands by filing date | put |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 6,000 | $5,000 | thousands by filing date | principal |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 350 | $5,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 299 | $5,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 4,000 | $5,000 | thousands by filing date | principal |
| ASANKO GOLD INC | 04341Y105 | COM | 1,293 | $5,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 700 | $5,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 1,520 | $5,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 10,376 | $5,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 300 | $5,000 | thousands by filing date | put |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 360 | $5,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 89 | $5,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 7,048 | $5,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 367 | $5,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 350 | $5,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 7,955 | $5,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 244 | $5,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 61 | $5,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 1,062 | $5,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 259 | $5,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 400 | $5,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 419 | $5,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 192 | $5,000 | thousands by filing date | |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 563 | $5,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 910 | $5,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 4,512 | $5,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 432 | $5,000 | thousands by filing date | |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 298 | $5,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 663 | $5,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 381 | $5,000 | thousands by filing date | |
| BulletShares 2024 Corporate | 18383M233 | COM | 250 | $5,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 4,587 | $5,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 1,747 | $5,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 233 | $5,000 | thousands by filing date | |
| SANMINA CORP COM | 801056102 | Stock | 158 | $4,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 126 | $4,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 4,088 | $4,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 199 | $4,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 580 | $4,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 275 | $4,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 200 | $4,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 200 | $4,000 | thousands by filing date | put |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 4,500 | $4,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 392 | $4,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 485 | $4,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 100 | $4,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 135 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 100 | $4,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 839 | $4,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 1,550 | $4,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 100 | $4,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 512 | $4,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 269 | $4,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 200 | $4,000 | thousands by filing date | call |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 1,919 | $4,000 | thousands by filing date | |
| ISHARES DOW JONES UBS ROLL S | 45032K102 | SHS BEN INT | 120 | $4,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 2,400 | $4,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 1,043 | $4,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 384 | $4,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 1,311 | $4,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 200 | $4,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 910 | $4,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 267 | $4,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 955 | $4,000 | thousands by filing date | call |
| TRIBUNE COMPANY | 896047503 | COMMON | 117 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 150 | $4,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D829 | INVRS VIX MDTERM | 100 | $4,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 900 | $4,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 2,200 | $4,000 | thousands by filing date | put |
| PFENEX INC | 717071104 | COM | 500 | $4,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 356 | $4,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 1,200 | $4,000 | thousands by filing date | |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 100 | $4,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 1,031 | $4,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 336 | $4,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 127 | $3,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 100 | $3,000 | thousands by filing date | put |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 239 | $3,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 600 | $3,000 | thousands by filing date | call |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 327 | $3,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 800 | $3,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 1,541 | $3,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 200 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 44 | $3,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 200 | $3,000 | thousands by filing date | put |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 100 | $3,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 50 | $3,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 100 | $3,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 230 | $3,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 79 | $3,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 651 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 55 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 89 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 135 | $3,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 299 | $3,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 2,004 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 100 | $3,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 2,000 | $3,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 100 | $3,000 | thousands by filing date | call |
| LUNA INNOVATIONS INC | 550351100 | COM | 2,000 | $3,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 100 | $3,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 100 | $3,000 | thousands by filing date | put |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 1,005 | $3,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 2,030 | $3,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 500 | $3,000 | thousands by filing date | put |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 237 | $3,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH ETN L | 22542D852 | COM | 159 | $3,000 | thousands by filing date | |
| STATE BANK FINL CORP COM | 856190103 | COM | 168 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 200 | $3,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 1,100 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 300 | $3,000 | thousands by filing date | put |
| CYTRX CORP | 232828509 | COM PAR $.001 | 5,000 | $3,000 | thousands by filing date | call |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 21,700 | $3,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 1,900 | $3,000 | thousands by filing date | |
| TALEN ENERGY CORP | 87422J105 | COM | 200 | $3,000 | thousands by filing date | put |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 304 | $3,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 1,400 | $3,000 | thousands by filing date | put |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 1,334 | $3,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 377 | $3,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V108 | COM SER A | 215 | $3,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 114 | $3,000 | thousands by filing date | |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 69 | $3,000 | thousands by filing date | |
| Prism Technologies Group Inc | 74273Y100 | US Small Cap | 14,060 | $3,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 1,169 | $3,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC COM PAR | 68232V306 | Stock | 1,187 | $3,000 | thousands by filing date | |
| AMERICAN FARMLA | 02589Y100 | Common Stock | 347 | $3,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 2,000 | $3,000 | thousands by filing date | |
| DEXTERA SURGICAL INC COM | 252366109 | CS | 1,516 | $3,000 | thousands by filing date | |
| GP INVTS ACQUISITION COR | G40357116 | UNIT 99/99/9999 | 300 | $3,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 10,000 | $3,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 2,000 | $2,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 280 | $2,000 | thousands by filing date | |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 100 | $2,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 265 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 25 | $2,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 100 | $2,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 46 | $2,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 278 | $2,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 104 | $2,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 110 | $2,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 328 | $2,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 96 | $2,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 150 | $2,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 75 | $2,000 | thousands by filing date | |
| MGT CAP INVTS INC COM NEW | 55302P202 | Equities | 1,000 | $2,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 545 | $2,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 835 | $2,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 221 | $2,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 133 | $2,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 85 | $2,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 2,000 | $2,000 | thousands by filing date | principal |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 200 | $2,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 2,000 | $2,000 | thousands by filing date | principal |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 300 | $2,000 | thousands by filing date | call |
| POWERSHARES ETF TR II S&P SMCP | 73937B886 | ETF - EQUITY | 21 | $2,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 41 | $2,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 342 | $2,000 | thousands by filing date | |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 46 | $2,000 | thousands by filing date | |
| BROOKFIELD CANADA OFFICE PRO | 112823109 | TR U | 83 | $2,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 57 | $2,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 3,600 | $2,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 985 | $2,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 130 | $2,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 100 | $2,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 50 | $2,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 1,040 | $2,000 | thousands by filing date | |
| AMTRUST FINANCIAL SERVICES I | 032359AC5 | NOTE 5.500%12/1 | 1,000 | $2,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 100 | $2,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 25 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 155 | $2,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 450 | $2,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 100 | $2,000 | thousands by filing date | call |
| SONUS NETWORKS INC | 835916503 | COM NEW | 200 | $2,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 100 | $2,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 900 | $2,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 300 | $2,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 500 | $2,000 | thousands by filing date | call |
| ONCOSEC MED INC | 68234L207 | COM NEW | 1,000 | $2,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 482 | $2,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 600 | $2,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 417 | $2,000 | thousands by filing date | |
| FORM HLDGS CORP COM | 34634E102 | Stock | 835 | $2,000 | thousands by filing date | |
| STONE ENERGY CORP COM NEW | 861642304 | Stock | 185 | $2,000 | thousands by filing date | |
| VIOLIN MEMORY INC COM NEW | 92763A309 | Stock | 2,500 | $2,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 7 | $1,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 100 | $1,000 | thousands by filing date | call |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 100 | $1,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 3,805 | $1,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 505 | $1,000 | thousands by filing date | |
| NEW JERSEY RES CORP | 646025106 | COM | 23 | $1,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 62 | $1,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 45 | $1,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 500 | $1,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 109 | $1,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 191 | $1,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 34 | $1,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 245 | $1,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 39 | $1,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 72 | $1,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 20 | $1,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 100 | $1,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 200 | $1,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 32 | $1,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 200 | $1,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 72 | $1,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 137 | $1,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 50 | $1,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 400 | $1,000 | thousands by filing date | put |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 70 | $1,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 500 | $1,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 45 | $1,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 200 | $1,000 | thousands by filing date | put |
| SEASPINE HLDGS CORP | 81255T108 | COM | 128 | $1,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 64 | $1,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 200 | $1,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 100 | $1,000 | thousands by filing date | put |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 500 | $1,000 | thousands by filing date | put |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 370 | $1,000 | 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 |