13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-10, with 7,265 holding rows worth $110,974,199,000.
- Accession
- 0000831001-17-000034
- Filer
- CIK 831001
- Filed
- 2017-02-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 15,518 entries on the cover page, a total value of $110,974,199,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $110,974,199,000 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 |
|---|---|---|---|---|---|---|
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 7,430 | $153,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 2,364 | $153,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 19,068 | $153,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 5,975 | $153,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 22,100 | $152,000 | thousands by filing date | put |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 33,100 | $152,000 | thousands by filing date | call |
| EDITAS MEDICINE INC | 28106W103 | COM | 9,369 | $152,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 2,300 | $152,000 | thousands by filing date | call |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 37,972 | $152,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 7,363 | $152,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 7,886 | $151,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 18,300 | $151,000 | thousands by filing date | call |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 6,352 | $151,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 4,612 | $151,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 12,060 | $151,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 7,800 | $151,000 | thousands by filing date | put |
| CHEESECAKE FACTORY INC | 163072101 | COM | 2,500 | $150,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 724 | $150,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 4,000 | $150,000 | thousands by filing date | put |
| ALLIENT INC | 019330109 | COM | 7,029 | $150,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 46,238 | $150,000 | thousands by filing date | |
| Cynosure, Inc. | 232577205 | COM | 3,300 | $150,000 | thousands by filing date | call |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 1,028 | $149,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 2,900 | $149,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 36,600 | $149,000 | thousands by filing date | put |
| WP CAREY INC COM | 92936U109 | REIT | 2,500 | $148,000 | thousands by filing date | put |
| RADIANT LOGISTICS INC | 75025X100 | COM | 38,000 | $148,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 48,100 | $148,000 | thousands by filing date | call |
| GIGPEAK INC | 37518Q109 | COM | 58,685 | $148,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 5,520 | $147,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 4,354 | $147,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 3,713 | $147,000 | thousands by filing date | |
| GUGGENHEIM | 18383M605 | EXCHANGE TRADED | 3,391 | $147,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 38,494 | $147,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 7,472 | $147,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 15,696 | $147,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 16,639 | $147,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X872 | DYNM SM CP GRW | 5,664 | $147,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 2,217 | $146,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 16,171 | $146,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 5,700 | $146,000 | thousands by filing date | put |
| ARISTA NETWORKS INC | 040413106 | COM | 1,500 | $145,000 | thousands by filing date | put |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 20,700 | $145,000 | thousands by filing date | call |
| NEKTAR THERAPEUTICS | 640268108 | COM | 11,800 | $145,000 | thousands by filing date | call |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 7,200 | $144,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 3,700 | $144,000 | thousands by filing date | put |
| CARRIZO OIL & GAS INC | 144577103 | COM | 3,872 | $144,000 | thousands by filing date | |
| COMCAST HOLDINGS CORP | 200300507 | ZONES CV2% PCS | 3,186 | $144,000 | thousands by filing date | principal |
| COBALT INTL ENERGY INC | 19075F106 | COM | 117,785 | $144,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 9,881 | $144,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 7,045 | $143,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 1,318 | $143,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 13,917 | $143,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 14,375 | $143,000 | thousands by filing date | |
| LGI HOMES INC | 50187TAB2 | NOTE 4.25011/1 | 100,000 | $143,000 | thousands by filing date | principal |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 7,360 | $142,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 8,996 | $142,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 11,048 | $142,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 42,000 | $142,000 | thousands by filing date | put |
| PATRIOT NATL INC | 70338T102 | COM | 30,482 | $142,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 17,323 | $141,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 6,265 | $141,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 10,613 | $140,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 15,638 | $140,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 118,000 | $140,000 | thousands by filing date | principal |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 3,800 | $139,000 | thousands by filing date | put |
| CROWN CASTLE INC COM | 22822V101 | REIT | 1,600 | $139,000 | thousands by filing date | put |
| SWIFT TRANSPORTATION CO | 87074U101 | COM | 5,708 | $139,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 4,750 | $139,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 9,390 | $138,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 13,787 | $138,000 | thousands by filing date | |
| OXFORD INDS INC | 691497309 | COM | 2,300 | $138,000 | thousands by filing date | call |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 10,909 | $138,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 16,992 | $138,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 12,702 | $138,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 32,906 | $138,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 15,364 | $137,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 24,113 | $137,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 3,593 | $136,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 15,279 | $136,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 8,900 | $136,000 | thousands by filing date | put |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 9,047 | $136,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 12,945 | $136,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 1,000 | $136,000 | thousands by filing date | put |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 5,040 | $135,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 11,370 | $135,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 3,478 | $135,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 13,832 | $134,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 7,299 | $134,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 3,500 | $134,000 | thousands by filing date | call |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 9,900 | $134,000 | thousands by filing date | put |
| NOVAVAX INC | 670002104 | COMMON STOCK | 106,700 | $134,000 | thousands by filing date | call |
| WABASH NATL CORP | 929566AH0 | CNV | 96,000 | $134,000 | thousands by filing date | principal |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 8,723 | $133,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 9,006 | $133,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 10,701 | $133,000 | thousands by filing date | |
| Royal Bk CDA Sub Nt NVCC Conve | 780082AD5 | CONV | 125,000 | $133,000 | thousands by filing date | principal |
| BECTON DICKINSON & CO | 075887109 | COM | 800 | $132,000 | thousands by filing date | put |
| WENDYS CO COM | 95058W100 | Stock | 9,800 | $132,000 | thousands by filing date | call |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 10,530 | $132,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 4,943 | $132,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 7,075 | $132,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 14,068 | $132,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 15,004 | $132,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 22,441 | $131,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 19,836 | $131,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 32,859 | $130,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 6,100 | $130,000 | thousands by filing date | call |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 3,600 | $130,000 | thousands by filing date | put |
| BENEFITFOCUS INC | 08180D106 | COM | 4,366 | $130,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 7,031 | $130,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 3,845 | $129,000 | thousands by filing date | |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 1,498 | $129,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 1,500 | $129,000 | thousands by filing date | put |
| PAMT CORP | 693149106 | COMMON STOCK | 4,969 | $129,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 23,791 | $129,000 | thousands by filing date | |
| SABRE CORP COM | 78573M104 | Stock | 5,136 | $128,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 12,959 | $128,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 6,716 | $127,000 | thousands by filing date | |
| BURLINGTON STORES INC COM | 122017106 | Stock | 1,500 | $127,000 | thousands by filing date | put |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 2,800 | $127,000 | thousands by filing date | call |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 81,663 | $127,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 4,960 | $127,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 7,572 | $127,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 4,904 | $127,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 22,186 | $127,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 2,900 | $126,000 | thousands by filing date | put |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 8,150 | $126,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 8,494 | $126,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 10,267 | $126,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 1,200 | $126,000 | thousands by filing date | put |
| LENDINGCLUB CORP | 52603A109 | COM | 23,860 | $126,000 | thousands by filing date | |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 2,355 | $125,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 21,760 | $125,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 5,721 | $125,000 | thousands by filing date | |
| CALATLANTIC GROUP INC | 128195104 | COM | 3,687 | $125,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 8,263 | $125,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 11,800 | $124,000 | thousands by filing date | call |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 5,599 | $124,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 17,800 | $124,000 | thousands by filing date | call |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 11,918 | $124,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 10,050 | $124,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 6,828 | $124,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 19,400 | $123,000 | thousands by filing date | call |
| SANDERSON FARMS | 800013104 | COM | 1,300 | $123,000 | thousands by filing date | put |
| SANDERSON FARMS | 800013104 | COM | 1,300 | $123,000 | thousands by filing date | call |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 11,800 | $123,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 4,427 | $123,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 2,852 | $122,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 3,400 | $122,000 | thousands by filing date | call |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 8,000 | $122,000 | thousands by filing date | call |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 46,852 | $122,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 6,500 | $122,000 | thousands by filing date | put |
| COLLIERS INTL GROUP INC SUB VTG SHS | 194693107 | Stock | 3,258 | $121,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 9,174 | $121,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 19,097 | $121,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 56,756 | $121,000 | thousands by filing date | |
| IRON MTN INC DEL COM | 46284V101 | REIT | 3,700 | $120,000 | thousands by filing date | call |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 7,300 | $120,000 | thousands by filing date | call |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 14,481 | $120,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 7,898 | $120,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 13,700 | $120,000 | thousands by filing date | put |
| SWIFT TRANSPORTATION CO | 87074U101 | COM | 4,900 | $120,000 | thousands by filing date | call |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 89,053 | $120,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 17,269 | $119,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 2,626 | $119,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 3,100 | $119,000 | thousands by filing date | call |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 3,008 | $119,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 28,900 | $119,000 | thousands by filing date | call |
| RED LION HOTELS CORP | 756764106 | COM | 14,280 | $119,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 77,728 | $119,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 93,000 | $119,000 | thousands by filing date | principal |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 12,784 | $119,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 6,500 | $118,000 | thousands by filing date | put |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 700 | $118,000 | thousands by filing date | call |
| BIOSCRIP INC | 09069N108 | COM | 113,178 | $118,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 5,343 | $117,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 14,851 | $117,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 9,492 | $117,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 34,500 | $117,000 | thousands by filing date | call |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 6,000 | $117,000 | thousands by filing date | call |
| SUNOCO LP/SUNOCO FIN CORP | 86765K109 | COM UT REP LP | 4,300 | $116,000 | thousands by filing date | put |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 1,651 | $116,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 13,800 | $116,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 4,291 | $116,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 9,878 | $116,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 1,026 | $115,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 1,200 | $115,000 | thousands by filing date | call |
| FOMENTO ECONOMICO MEXICANO S A SPON ADR UNITS | 344419106 | ADR | 1,506 | $115,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 44,800 | $115,000 | thousands by filing date | call |
| BIG LOTS INC | 089302103 | COM | 2,300 | $115,000 | thousands by filing date | call |
| REALNETWORKS INC | 75605L708 | COM | 23,638 | $115,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 1,084 | $114,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 36,200 | $114,000 | thousands by filing date | put |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 15,505 | $114,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 12,668 | $114,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 7,623 | $114,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 12,300 | $113,000 | thousands by filing date | put |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 8,532 | $113,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 5,681 | $113,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 26,428 | $113,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 126,000 | $113,000 | thousands by filing date | principal |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 4,050 | $113,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 3,000 | $113,000 | thousands by filing date | put |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 1,500 | $113,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 15,415 | $113,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 10,415 | $113,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 5,000 | $112,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 2,123 | $112,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 10,991 | $112,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 7,000 | $111,000 | thousands by filing date | call |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 1,119 | $111,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 11,000 | $111,000 | thousands by filing date | put |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 1,400 | $111,000 | thousands by filing date | call |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 13,343 | $111,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 1,400 | $110,000 | thousands by filing date | put |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 12,000 | $110,000 | thousands by filing date | call |
| POWERSHARES S&P SMALLCAP LOW | 73937B639 | EXCHANGE TRADED | 2,538 | $110,000 | thousands by filing date | |
| GENERAL GROWTH PPTYS INC NEW | 370023103 | COM | 4,400 | $110,000 | thousands by filing date | call |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 2,707 | $110,000 | thousands by filing date | |
| WINGSTOP INC COM | 974155103 | Stock | 3,668 | $109,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 86,500 | $109,000 | thousands by filing date | put |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 23,250 | $109,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 5,826 | $109,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 10,900 | $108,000 | thousands by filing date | put |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 6,724 | $108,000 | thousands by filing date | |
| DELPHI AUTOMOTIVE PLC | G27823106 | COMMON STOCK-FO | 1,600 | $108,000 | thousands by filing date | put |
| SIERRA WIRELESS INC | 826516106 | COM | 6,900 | $108,000 | thousands by filing date | call |
| PENN WEST PETE LTD NEW | 707887105 | COM | 60,900 | $108,000 | thousands by filing date | call |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 23,409 | $108,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 2,097 | $107,000 | thousands by filing date | |
| TECHNIPFMC PLC | 30249U101 | COM | 3,000 | $107,000 | thousands by filing date | put |
| TECHNIPFMC PLC | 30249U101 | COM | 3,000 | $107,000 | thousands by filing date | call |
| SYNERGY RES CORP | 87164P103 | COM | 11,943 | $107,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 4,200 | $107,000 | thousands by filing date | call |
| CONFORMIS INC | 20717E101 | COM | 13,216 | $107,000 | thousands by filing date | |
| MACERICH CO | 554382101 | COM | 1,500 | $106,000 | thousands by filing date | call |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 22,644 | $106,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 3,700 | $106,000 | thousands by filing date | call |
| MARINE PRODS CORP | 568427108 | cs | 7,618 | $106,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 1,400 | $105,000 | thousands by filing date | call |
| THE COOPER COMPANIES | 216648402 | COM NEW | 600 | $105,000 | thousands by filing date | call |
| Cynosure, Inc. | 232577205 | COM | 2,300 | $105,000 | thousands by filing date | put |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 12,200 | $105,000 | thousands by filing date | call |
| AV HOMES INC | 00234P102 | COM | 6,663 | $105,000 | thousands by filing date | |
| 51JOB INC | 316827AC8 | NOTE 3.250 4/1 | 100,000 | $105,000 | thousands by filing date | principal |
| JANUS CAPITAL GROUP INC | 47102X105 | COMMON STOCK | 7,847 | $104,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 6,653 | $104,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 5,474 | $104,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 14,829 | $104,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN LSR | 73935X757 | COM | 2,611 | $104,000 | thousands by filing date | |
| ADEPTUS HEALTH | 006855100 | Common Stock | 13,579 | $104,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 2,700 | $103,000 | thousands by filing date | put |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 1,748 | $103,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 7,126 | $103,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 1,005 | $103,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 24,900 | $103,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 6,914 | $103,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 6,872 | $102,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 2,000 | $102,000 | thousands by filing date | call |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 9,388 | $102,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 159,500 | $102,000 | thousands by filing date | put |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 71,700 | $102,000 | thousands by filing date | call |
| GENERAL GROWTH PPTYS INC NEW | 370023103 | COM | 4,100 | $102,000 | thousands by filing date | put |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 1,000 | $101,000 | thousands by filing date | call |
| FLOWERS FOODS INC COM | 343498101 | Stock | 5,000 | $100,000 | thousands by filing date | call |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 32,000 | $100,000 | thousands by filing date | call |
| MONROE CAPITAL CORP | 610335101 | COM | 6,486 | $100,000 | thousands by filing date | |
| STERICYCLE INC | 858912108 | COM | 1,300 | $100,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 4,300 | $100,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 13,601 | $100,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 1,850 | $100,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 3,819 | $100,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 923 | $99,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 3,443 | $99,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 2,400 | $99,000 | thousands by filing date | call |
| ARRIS INTL INC SHS | G0551A103 | SHS | 3,300 | $99,000 | thousands by filing date | put |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 11,650 | $99,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 4,100 | $99,000 | thousands by filing date | call |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 8,046 | $99,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 47,400 | $98,000 | thousands by filing date | call |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 8,646 | $98,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 5,200 | $98,000 | thousands by filing date | call |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 8,217 | $98,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 12,726 | $98,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 3,751 | $98,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 2,342 | $98,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 38,245 | $98,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 20,007 | $98,000 | thousands by filing date | |
| BOSTON BEER INC CL A | 100557107 | Stock | 570 | $97,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 3,600 | $97,000 | thousands by filing date | put |
| MARCHEX INC | 56624R108 | CMN | 36,769 | $97,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 6,051 | $97,000 | thousands by filing date | |
| ALERE INC | 01449J105 | COM | 2,500 | $97,000 | thousands by filing date | call |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 4,500 | $97,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 19,496 | $97,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 5,111 | $97,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 1,200 | $96,000 | thousands by filing date | call |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 9,726 | $96,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 667 | $96,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 769 | $96,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 1,951 | $96,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 5,886 | $96,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 5,854 | $95,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 28,806 | $95,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 4,143 | $95,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 2,100 | $95,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 6,700 | $95,000 | thousands by filing date | put |
| REVLON INC | 761525609 | OPT | 3,282 | $95,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 12,816 | $95,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 9,988 | $94,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 9,066 | $94,000 | thousands by filing date | |
| DELPHI AUTOMOTIVE PLC | G27823106 | COMMON STOCK-FO | 1,400 | $94,000 | thousands by filing date | call |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 3,300 | $94,000 | thousands by filing date | put |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 8,435 | $94,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 7,500 | $94,000 | thousands by filing date | call |
| BLOCK INC CL A | 852234103 | Stock | 6,800 | $93,000 | thousands by filing date | put |
| OMEROS CORP | 682143102 | COM | 9,400 | $93,000 | thousands by filing date | call |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 5,667 | $93,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 3,400 | $93,000 | thousands by filing date | put |
| FARMER BROS CO | 307675108 | COM | 2,548 | $93,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 25,426 | $93,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 34,304 | $93,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 3,500 | $93,000 | thousands by filing date | call |
| VALHI INC NEW | 918905100 | COM | 26,891 | $93,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 71,494 | $93,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 81,094 | $93,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 644 | $92,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 4,100 | $92,000 | thousands by filing date | call |
| INFINERA CORP | 45667G103 | COMMON STOCK | 10,800 | $92,000 | thousands by filing date | call |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 3,923 | $92,000 | thousands by filing date | call |
| PTC INC COM | 69370C100 | Stock | 1,982 | $91,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 1,000 | $91,000 | thousands by filing date | put |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 9,600 | $91,000 | thousands by filing date | call |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 8,793 | $91,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 1,600 | $90,000 | thousands by filing date | call |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 3,252 | $90,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 1,600 | $90,000 | thousands by filing date | put |
| VERINT SYS INC | 92343X100 | COM | 2,567 | $90,000 | thousands by filing date | |
| INTEROIL CORP | 460951106 | COM | 1,900 | $90,000 | thousands by filing date | put |
| NUMEREX CORP -CL A | 67053A102 | CL A | 12,171 | $90,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 6,155 | $89,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 4,000 | $89,000 | thousands by filing date | call |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 5,169 | $89,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 1,100 | $88,000 | thousands by filing date | put |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 3,318 | $88,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 6,800 | $88,000 | thousands by filing date | call |
| AQUA METALS INC | 03837J101 | COM | 6,730 | $88,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 5,600 | $88,000 | thousands by filing date | put |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 39,039 | $88,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 21,251 | $88,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 9,650 | $88,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 2,000 | $87,000 | thousands by filing date | call |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 8,075 | $87,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 700 | $87,000 | thousands by filing date | call |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 28,567 | $87,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 10,200 | $87,000 | thousands by filing date | call |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 9,722 | $87,000 | thousands by filing date | |
| SNAP ON INC COM | 833034101 | Stock | 500 | $86,000 | thousands by filing date | call |
| ACADIA HEALTHCARE COMPANY INC COM | 00404A109 | Stock | 2,600 | $86,000 | thousands by filing date | call |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 1,900 | $86,000 | thousands by filing date | put |
| HERON THERAPEUTICS INC | 427746102 | COM | 6,600 | $86,000 | thousands by filing date | put |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 11,100 | $86,000 | thousands by filing date | put |
| PowerShares CEF Income Composite | 73936Q843 | Com | 3,848 | $86,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 8,854 | $86,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 1,000 | $85,000 | thousands by filing date | call |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 9,566 | $85,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 3,000 | $85,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 3,696 | $85,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 3,056 | $85,000 | thousands by filing date | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 2,848 | $85,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 10,000 | $85,000 | thousands by filing date | put |
| INTELSAT S A | L5140P101 | COM | 31,805 | $85,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 500 | $84,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 600 | $84,000 | thousands by filing date | put |
| DEXCOM INC COM | 252131107 | Stock | 1,400 | $84,000 | thousands by filing date | call |
| BLUE BIRD CORP | 095306106 | COM | 5,448 | $84,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 2,322 | $84,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 3,540 | $84,000 | thousands by filing date | |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 500 | $83,000 | thousands by filing date | put |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 16,551 | $83,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 2,099 | $83,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 900 | $83,000 | thousands by filing date | call |
| RETROPHIN INC | 761299106 | COM | 4,400 | $83,000 | thousands by filing date | call |
| ISHARES TR | 46432F834 | COM | 1,623 | $82,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 1,367 | $82,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 8,514 | $82,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 2,000 | $82,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 3,085 | $82,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 5,867 | $82,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 18,642 | $82,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 758 | $81,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 2,500 | $81,000 | thousands by filing date | put |
| CVR ENERGY, INC. | 12662P108 | COM | 3,200 | $81,000 | thousands by filing date | call |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 12,340 | $81,000 | thousands by filing date | |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 5,600 | $81,000 | thousands by filing date | put |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 3,100 | $81,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 3,400 | $81,000 | thousands by filing date | call |
| NEWTEKONE INC | 652526203 | COM NEW | 5,051 | $80,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 1,000 | $80,000 | thousands by filing date | put |
| VISTEON CORP | 92839U206 | COM NEW | 1,000 | $80,000 | thousands by filing date | call |
| MOHAWK INDS INC | 608190104 | COM | 400 | $80,000 | thousands by filing date | call |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 3,800 | $80,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 8,467 | $80,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 13,600 | $80,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 30,295 | $80,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 1,600 | $80,000 | thousands by filing date | call |
| CERUS CORP | 157085101 | COM | 18,100 | $79,000 | thousands by filing date | call |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 8,567 | $79,000 | thousands by filing date | |
| BANK OF THE OZARKS | 063904106 | COM | 1,500 | $79,000 | thousands by filing date | call |
| PROVIDENT BANCORP INC | 74383X109 | COM | 4,443 | $79,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 1,600 | $78,000 | thousands by filing date | call |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 4,900 | $78,000 | thousands by filing date | put |
| CAPITALA FIN CORP | 14054R106 | COM | 6,048 | $78,000 | thousands by filing date | |
| KBR INC COM | 48242W106 | Stock | 4,700 | $78,000 | thousands by filing date | call |
| ADTRAN INC | 00738A106 | COMMON STOCK | 3,500 | $78,000 | thousands by filing date | put |
| FBR & CO | 30247C400 | COM NEW | 5,992 | $78,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 3,350 | $77,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F486 | IG FLOA RATE ETF | 3,083 | $77,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 2,229 | $77,000 | thousands by filing date | call |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 690 | $77,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 18,600 | $77,000 | thousands by filing date | put |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 5,744 | $77,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 5,015 | $77,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 3,375 | $77,000 | thousands by filing date | |
| GLOBAL PMTS INC | 37940X102 | COM | 1,100 | $76,000 | thousands by filing date | put |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 5,920 | $76,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 5,349 | $76,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 6,468 | $76,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 1,900 | $76,000 | thousands by filing date | call |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 2,173 | $76,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 55,799 | $76,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 62,200 | $76,000 | thousands by filing date | put |
| DOMINION DIAMOND CORP | 257287102 | COM | 7,820 | $76,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 3,417 | $76,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 2,522 | $76,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 3,600 | $76,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 23,902 | $76,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 18,933 | $76,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 13,731 | $76,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 1,200 | $75,000 | thousands by filing date | call |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 34,000 | $75,000 | thousands by filing date | put |
| KCAP FINANCIAL INC | 48668E101 | COM | 18,873 | $75,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 27,987 | $75,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 5,100 | $75,000 | thousands by filing date | put |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 9,100 | $75,000 | thousands by filing date | call |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 5,040 | $75,000 | thousands by filing date | |
| LINEAR TECHNOLOGY CORP | 535678106 | COM | 1,200 | $75,000 | thousands by filing date | call |
| SERES THERAPEUTICS INC | 81750R102 | COM | 7,594 | $75,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 192,000 | $75,000 | thousands by filing date | principal |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 98,763 | $75,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 4,000 | $75,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 54,000 | $75,000 | thousands by filing date | principal |
| ServiceNow,Inc. | 81762P102 | COM | 1,000 | $74,000 | thousands by filing date | call |
| WENDYS CO COM | 95058W100 | Stock | 5,489 | $74,000 | thousands by filing date | |
| RELX PLC SPONSORED ADR | 759530108 | ADR | 4,083 | $74,000 | thousands by filing date | |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 1,100 | $74,000 | thousands by filing date | put |
| MATCH GROUP INC | 57665R106 | COM | 4,358 | $74,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 6,166 | $74,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 1,943 | $74,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 7,518 | $74,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 51,000 | $74,000 | thousands by filing date | principal |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 1,700 | $73,000 | thousands by filing date | call |
| AUTONATION INC COM | 05329W102 | Stock | 1,500 | $73,000 | thousands by filing date | put |
| GODADDY INC CL A | 380237107 | Stock | 2,100 | $73,000 | thousands by filing date | call |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 5,999 | $73,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 800 | $73,000 | thousands by filing date | call |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 25,150 | $73,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 19,753 | $73,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 8,402 | $73,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 1,400 | $72,000 | thousands by filing date | call |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 2,692 | $72,000 | thousands by filing date | |
| TREEHOUSE FOODS INC COM | 89469A104 | Stock | 1,000 | $72,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 2,100 | $72,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 5,820 | $72,000 | thousands by filing date | |
| EQUINIX INC COM | 29444U700 | REIT | 200 | $71,000 | thousands by filing date | call |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 1,700 | $71,000 | thousands by filing date | put |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 14,443 | $71,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 14,510 | $71,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J116 | PFD CONV SER A | 93 | $71,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 2,573 | $70,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 3,038 | $70,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 4,665 | $70,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 2,834 | $70,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 10,000 | $70,000 | thousands by filing date | put |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 2,775 | $70,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T474 | INSUR NATL MUN | 2,793 | $70,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 705 | $69,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 1,100 | $69,000 | thousands by filing date | put |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 800 | $69,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 735 | $69,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 1,300 | $69,000 | thousands by filing date | call |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 3,634 | $69,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 3,912 | $69,000 | thousands by filing date | |
| Q | 74876Y101 | Stock | 902 | $69,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 66,000 | $69,000 | thousands by filing date | principal |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 3,470 | $68,000 | thousands by filing date | |
| MYRIAD GENETICS INC | 62855J104 | COM | 4,100 | $68,000 | thousands by filing date | call |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 817 | $68,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 23,300 | $68,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-17-000034 | this filing | 2017-02-10 | acceptance time not in the bulk data set |