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 |
|---|---|---|---|---|---|---|
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 500 | $67,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 1,353 | $67,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 1,200 | $67,000 | thousands by filing date | call |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 6,311 | $67,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 3,704 | $67,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 7,614 | $67,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 30,007 | $66,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 3,540 | $66,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 2,400 | $66,000 | thousands by filing date | put |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 12,423 | $66,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 7,000 | $66,000 | thousands by filing date | put |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 9,363 | $66,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 3,030 | $66,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 18,600 | $66,000 | thousands by filing date | call |
| LITHIA MTRS INC COM | 536797103 | Stock | 666 | $65,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 7,629 | $65,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 5,300 | $65,000 | thousands by filing date | call |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 7,700 | $65,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 2,960 | $65,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 25,900 | $65,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 12,978 | $65,000 | thousands by filing date | |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 1,492 | $65,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 5,257 | $64,000 | thousands by filing date | |
| DOMINOS PIZZA INC COM | 25754A201 | Stock | 400 | $64,000 | thousands by filing date | put |
| W & T OFFSHORE INC | 92922P106 | COM | 23,103 | $64,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 30,256 | $64,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 21,100 | $64,000 | thousands by filing date | call |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 3,700 | $64,000 | thousands by filing date | call |
| GIGAMON INC | 37518B102 | COM | 1,400 | $64,000 | thousands by filing date | call |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 19,878 | $64,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 9,800 | $64,000 | thousands by filing date | put |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 498 | $64,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 9,003 | $64,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 9,286 | $63,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 5,100 | $63,000 | thousands by filing date | put |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 4,950 | $63,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 5,118 | $63,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 10,928 | $63,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 6,500 | $63,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 800 | $63,000 | thousands by filing date | put |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 3,341 | $62,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 4,867 | $62,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 4,346 | $62,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 5,000 | $62,000 | thousands by filing date | call |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 500 | $62,000 | thousands by filing date | put |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 42,680 | $62,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 2,322 | $61,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 1,716 | $61,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 2,096 | $61,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 5,405 | $61,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 16,678 | $61,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 6,679 | $61,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 4,900 | $60,000 | thousands by filing date | call |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 4,177 | $60,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 700 | $60,000 | thousands by filing date | put |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 3,000 | $60,000 | thousands by filing date | put |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 1,100 | $60,000 | thousands by filing date | put |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 3,756 | $60,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359309 | COM | 2,200 | $60,000 | thousands by filing date | put |
| TROVAGENE INC | 897238309 | COM | 28,453 | $60,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 28,000 | $60,000 | thousands by filing date | put |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 4,367 | $60,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 3,600 | $60,000 | thousands by filing date | |
| CASEYS GEN STORES INC | 147528103 | COM | 500 | $59,000 | thousands by filing date | call |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 600 | $59,000 | thousands by filing date | call |
| ECOLAB INC COM | 278865100 | Stock | 500 | $59,000 | thousands by filing date | put |
| ORION S.A. | L72967109 | COM | 3,114 | $59,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 4,892 | $59,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 1,700 | $59,000 | thousands by filing date | put |
| Zedge Inc | 98923T104 | COM | 18,949 | $59,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 8,294 | $59,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 7,015 | $59,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 4,542 | $58,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 3,000 | $58,000 | thousands by filing date | put |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 1,200 | $58,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF FD | 73936G308 | S&P 500 BUYWRT | 2,749 | $58,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 16,400 | $58,000 | thousands by filing date | put |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 1,200 | $58,000 | thousands by filing date | call |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 517 | $57,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 4,100 | $57,000 | thousands by filing date | call |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 429 | $57,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 3,761 | $57,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 500 | $57,000 | thousands by filing date | call |
| OPHTHOTECH CORP | 683745103 | COM | 11,800 | $57,000 | thousands by filing date | call |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 2,971 | $57,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 1,591 | $56,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 1,215 | $56,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 2,000 | $56,000 | thousands by filing date | call |
| PREMIER INC | 74051N102 | CL A | 1,829 | $56,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 6,034 | $56,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 1,637 | $56,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 11,885 | $56,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 3,000 | $56,000 | thousands by filing date | put |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 2,224 | $56,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 11,355 | $56,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 4,400 | $55,000 | thousands by filing date | put |
| INTERXION HOLDING N.V | N47279109 | SHS | 1,568 | $55,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 2,416 | $55,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 35,000 | $55,000 | thousands by filing date | put |
| CEMENTOS PACASMAYO SAA - ADR | 15126Q109 | SPON | 6,025 | $55,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 6,196 | $55,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 1,052 | $54,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 700 | $54,000 | thousands by filing date | call |
| AEGON N V | 007924103 | NY REGISTRY SHS | 9,711 | $54,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X101 | COM | 500 | $54,000 | thousands by filing date | put |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 2,300 | $54,000 | thousands by filing date | call |
| EXPRESS INC | 30219E103 | COMMON STOCK | 5,000 | $54,000 | thousands by filing date | put |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 2,530 | $54,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 1,558 | $54,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 11,355 | $54,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 12,310 | $54,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 1,100 | $53,000 | thousands by filing date | put |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 2,100 | $53,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 1,100 | $53,000 | thousands by filing date | put |
| ST JOE CO | 790148100 | COM | 2,800 | $53,000 | thousands by filing date | put |
| ZENDESK INC | 98936J101 | COM | 2,500 | $53,000 | thousands by filing date | put |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 818 | $53,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 3,920 | $53,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 1,476 | $53,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 2,097 | $53,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 2,303 | $53,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 3,000 | $53,000 | thousands by filing date | put |
| EXONE CO | 302104104 | COM | 5,700 | $53,000 | thousands by filing date | call |
| COGINT INC | 19241Q101 | COM | 15,290 | $53,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 4,600 | $52,000 | thousands by filing date | call |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 7,600 | $52,000 | thousands by filing date | call |
| CROCS INC COM | 227046109 | Stock | 7,600 | $52,000 | thousands by filing date | call |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 4,282 | $52,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 900 | $52,000 | thousands by filing date | call |
| O-I GLASS, INC. | 690768403 | COM | 3,000 | $52,000 | thousands by filing date | call |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 16,000 | $52,000 | thousands by filing date | call |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 1,631 | $52,000 | thousands by filing date | |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 465 | $51,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 4,025 | $51,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 902 | $51,000 | thousands by filing date | |
| LENDINGTREE INC | 52603B107 | COM | 500 | $51,000 | thousands by filing date | put |
| ECHOSTAR CORP | 278768106 | CL A | 983 | $51,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 3,198 | $51,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 5,900 | $51,000 | thousands by filing date | put |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 3,850 | $51,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 5,990 | $51,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AU7 | COM | 25,000 | $51,000 | thousands by filing date | principal |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 6,261 | $50,000 | thousands by filing date | |
| PROSHARES TR | 74347B607 | INVT INT RT HG | 662 | $50,000 | thousands by filing date | |
| DELEK US HOLDINGS INC | 246647101 | COMMON STOCK | 2,065 | $50,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC | 04269XAA3 | NOTE 3.000% 6/0 | 36,000 | $50,000 | thousands by filing date | principal |
| NEUSTAR INC | 64126X201 | CL A | 1,500 | $50,000 | thousands by filing date | call |
| Foundation Medicine Inc | 350465100 | COM | 2,800 | $50,000 | thousands by filing date | put |
| BRUNSWICK CORP | 117043109 | COM | 900 | $49,000 | thousands by filing date | call |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 2,553 | $49,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 2,949 | $49,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 1,501 | $49,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 4,367 | $49,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 10,800 | $49,000 | thousands by filing date | call |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 5,330 | $49,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 9,900 | $49,000 | thousands by filing date | call |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 53,000 | $49,000 | thousands by filing date | principal |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 960 | $48,000 | thousands by filing date | |
| LITHIA MTRS INC COM | 536797103 | Stock | 500 | $48,000 | thousands by filing date | call |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 864 | $48,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 1,317 | $48,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 2,200 | $48,000 | thousands by filing date | call |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 4,029 | $48,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 11,029 | $48,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 42,400 | $48,000 | thousands by filing date | call |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 106,000 | $48,000 | thousands by filing date | principal |
| VITAL THERAPIES INC | 92847R104 | COM | 11,034 | $48,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 2,000 | $47,000 | thousands by filing date | call |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 2,500 | $47,000 | thousands by filing date | call |
| SMITH A O CORP COM | 831865209 | Stock | 1,000 | $47,000 | thousands by filing date | call |
| MYRIAD GENETICS INC | 62855J104 | COM | 2,800 | $47,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 1,395 | $47,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 7,100 | $47,000 | thousands by filing date | put |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 4,617 | $47,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 4,206 | $47,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 1,604 | $47,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 2,669 | $47,000 | thousands by filing date | |
| DBX ETF TR | 233051820 | XTRACK MSCI ALL | 1,954 | $47,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 15,342 | $47,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 409 | $47,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 51,561 | $47,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 7,200 | $47,000 | thousands by filing date | call |
| VELOCITYSHARES INV VIX SH-TM | 22542D795 | INVR | 1,000 | $47,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 3,007 | $47,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 3,000 | $47,000 | thousands by filing date | |
| COLONY CAP INC | 19624R403 | CONV PFD-C | 2,000 | $47,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 200 | $46,000 | thousands by filing date | call |
| INVESCO LTD SHS | G491BT108 | Stock | 1,500 | $46,000 | thousands by filing date | put |
| VALVOLINE INC COM | 92047W101 | Stock | 2,189 | $46,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 600 | $46,000 | thousands by filing date | put |
| MAXLINEAR INC | 57776J100 | COM | 2,100 | $46,000 | thousands by filing date | call |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 5,046 | $46,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 1,020 | $46,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 5,124 | $46,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 872 | $46,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 1,715 | $46,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 3,737 | $45,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 1,200 | $45,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 1,600 | $45,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 2,800 | $44,000 | thousands by filing date | put |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 3,807 | $44,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 1,610 | $44,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 6,811 | $44,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 4,200 | $44,000 | thousands by filing date | put |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 431 | $44,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 12,200 | $44,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 14,568 | $44,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 300 | $43,000 | thousands by filing date | put |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 14,816 | $43,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 995 | $43,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 5,222 | $43,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 1,800 | $43,000 | thousands by filing date | put |
| GIGAMON INC | 37518B102 | COM | 953 | $43,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 7,601 | $43,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 1,513 | $43,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 4,861 | $43,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 2,200 | $42,000 | thousands by filing date | put |
| FLOWERS FOODS INC COM | 343498101 | Stock | 2,100 | $42,000 | thousands by filing date | put |
| GENIE ENERGY LTD | 372284208 | CL B | 7,368 | $42,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 1,200 | $42,000 | thousands by filing date | call |
| YUM CHINA HLDGS INC | 98850P109 | COM | 1,600 | $42,000 | thousands by filing date | call |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 1,000 | $42,000 | thousands by filing date | call |
| ORBOTECH LTD | M75253100 | ORD | 1,252 | $42,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 31,000 | $42,000 | thousands by filing date | principal |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 5,742 | $42,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 8,453 | $42,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 862 | $41,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 1,000 | $41,000 | thousands by filing date | put |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 3,000 | $41,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 3,986 | $41,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 1,000 | $41,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 697 | $41,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 1,200 | $41,000 | thousands by filing date | call |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 2,999 | $41,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 15,298 | $41,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 40,000 | $41,000 | thousands by filing date | principal |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,629 | $41,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 1,235 | $41,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 11,013 | $40,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 1,100 | $40,000 | thousands by filing date | call |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 6,300 | $40,000 | thousands by filing date | put |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 246 | $40,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 3,900 | $40,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 536 | $40,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 2,188 | $40,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 1,152 | $40,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 7,200 | $40,000 | thousands by filing date | put |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 2,376 | $40,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 10,300 | $40,000 | thousands by filing date | call |
| CIBER INC | 17163B102 | COM | 62,752 | $40,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 19,100 | $40,000 | thousands by filing date | put |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 18,733 | $40,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 16,345 | $40,000 | thousands by filing date | |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 785 | $39,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 5,204 | $39,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 1,500 | $39,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 2,090 | $39,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 1,558 | $39,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 5,042 | $39,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 1,377 | $39,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 3,800 | $39,000 | thousands by filing date | put |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 55,316 | $39,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 1,491 | $38,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 7,200 | $38,000 | thousands by filing date | |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 2,300 | $38,000 | thousands by filing date | put |
| CERUS CORP | 157085101 | COM | 8,800 | $38,000 | thousands by filing date | put |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 1,240 | $38,000 | thousands by filing date | |
| MICROSEMI CORP | 595137100 | COM | 700 | $38,000 | thousands by filing date | put |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 4,200 | $38,000 | thousands by filing date | call |
| INTEROIL CORP | 460951106 | COM | 800 | $38,000 | thousands by filing date | call |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 1,650 | $38,000 | thousands by filing date | |
| KONGZHONG CORP | 50047P104 | CMN | 5,469 | $38,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 4,600 | $38,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 650 | $37,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 6,200 | $37,000 | thousands by filing date | put |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 1,300 | $37,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 400 | $37,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 2,000 | $37,000 | thousands by filing date | call |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 700 | $37,000 | thousands by filing date | put |
| OFS CAPITAL CORP | 67103B100 | COM | 2,688 | $37,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 7,007 | $37,000 | thousands by filing date | |
| ARCONIC INC | 03965L308 | PREFERRED STOCK | 1,220 | $37,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 6,000 | $37,000 | thousands by filing date | call |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 12,688 | $37,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 18,782 | $37,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 3,312 | $37,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 3,000 | $37,000 | thousands by filing date | put |
| LIBERTY INTERACTIVE LLC | 530610AC8 | DEB 0.750 3/3 | 26,000 | $37,000 | thousands by filing date | principal |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 474 | $36,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 4,300 | $36,000 | thousands by filing date | call |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 1,600 | $36,000 | thousands by filing date | put |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 4,824 | $36,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 950 | $36,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102X105 | COMMON STOCK | 2,700 | $36,000 | thousands by filing date | call |
| CYTRX CORP | 232828509 | COM PAR $.001 | 97,630 | $36,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 835 | $36,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 16,900 | $36,000 | thousands by filing date | call |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 3,600 | $36,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 5,903 | $36,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 1,746 | $35,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 3,865 | $35,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 1,009 | $35,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 900 | $35,000 | thousands by filing date | call |
| WAYFAIR INC | 94419L101 | CL A | 1,000 | $35,000 | thousands by filing date | put |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 2,831 | $35,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 700 | $35,000 | thousands by filing date | put |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 500 | $35,000 | thousands by filing date | put |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 6,370 | $35,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 1,667 | $35,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 1,384 | $35,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 2,799 | $35,000 | thousands by filing date | |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 734 | $35,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 52,200 | $35,000 | thousands by filing date | call |
| COVISINT CORP | 22357R103 | COM | 18,662 | $35,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 1,347 | $34,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 9,300 | $34,000 | thousands by filing date | put |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 1,900 | $34,000 | thousands by filing date | call |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 6,628 | $34,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 9,900 | $34,000 | thousands by filing date | call |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 3,300 | $34,000 | thousands by filing date | call |
| NEXTERA ENERGY INC CORPORATE | 65339f820 | COM | 688 | $34,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 2,917 | $34,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 5,130 | $34,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 17,400 | $34,000 | thousands by filing date | call |
| EQT CORP COM | 26884L109 | Stock | 500 | $33,000 | thousands by filing date | put |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 5,650 | $33,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 2,200 | $33,000 | thousands by filing date | call |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 500 | $33,000 | thousands by filing date | put |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 800 | $33,000 | thousands by filing date | call |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 37,800 | $33,000 | thousands by filing date | call |
| AGENUS INC | 00847G705 | COM NEW | 7,900 | $33,000 | thousands by filing date | put |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 4,700 | $33,000 | thousands by filing date | put |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 3,500 | $33,000 | thousands by filing date | call |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 3,377 | $33,000 | thousands by filing date | |
| GREAT ELM CAP CORP | 390320109 | COM | 2,829 | $33,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 1,225 | $32,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 5,041 | $32,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 390 | $32,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 1,260 | $32,000 | thousands by filing date | put |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 1,700 | $32,000 | thousands by filing date | put |
| TCW CONV SECS FD INC | 872340104 | COM | 6,000 | $32,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 10,472 | $32,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 3,800 | $32,000 | thousands by filing date | put |
| ICAD INC | 44934S206 | COM NEW | 9,900 | $32,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 325 | $32,000 | thousands by filing date | |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 2,137 | $32,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 1,500 | $32,000 | thousands by filing date | call |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 2,000 | $31,000 | thousands by filing date | call |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 10,000 | $31,000 | thousands by filing date | put |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 1,452 | $31,000 | thousands by filing date | |
| WILDHORSE RESOURCE DEV CORP | 96812T102 | COM | 2,142 | $31,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 1,338 | $31,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 27,200 | $31,000 | thousands by filing date | call |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 3,321 | $31,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 2,209 | $31,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 2,400 | $31,000 | thousands by filing date | |
| ASCENT CAP GROUP INC | 043632AA6 | NOTE 4.000 7/1 | 41,000 | $31,000 | thousands by filing date | principal |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 750 | $30,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 500 | $30,000 | thousands by filing date | call |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 270 | $30,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 3,013 | $30,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 1,600 | $30,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 750 | $30,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 1,220 | $30,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 2,497 | $30,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 800 | $30,000 | thousands by filing date | call |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 700 | $30,000 | thousands by filing date | put |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 29,420 | $30,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 1,109 | $30,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 18,592 | $30,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 750 | $30,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 2,776 | $30,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 4,700 | $30,000 | thousands by filing date | call |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 23,000 | $30,000 | thousands by filing date | principal |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 273 | $29,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 300 | $29,000 | thousands by filing date | put |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 300 | $29,000 | thousands by filing date | put |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 6,000 | $29,000 | thousands by filing date | put |
| AGCO CORP | 001084102 | COM | 500 | $29,000 | thousands by filing date | put |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 7,300 | $29,000 | thousands by filing date | call |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 2,000 | $29,000 | thousands by filing date | put |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 3,000 | $29,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 200 | $29,000 | thousands by filing date | call |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 2,010 | $29,000 | thousands by filing date | |
| UBIQUITI NETWORKS INC | 90347A100 | COM | 500 | $29,000 | thousands by filing date | put |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 1,359 | $29,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 2,600 | $29,000 | thousands by filing date | put |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 5,850 | $29,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 1,404 | $29,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 45,000 | $29,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 1,992 | $29,000 | thousands by filing date | |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 1,900 | $29,000 | thousands by filing date | call |
| HSBC HLDGS PLC | 404280AT6 | NOTE 6.375%12/3 | 29,000 | $29,000 | thousands by filing date | principal |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 100 | $28,000 | thousands by filing date | call |
| HEXCEL CORP NEW | 428291108 | COM | 544 | $28,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 6,275 | $28,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 4,171 | $28,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 1,712 | $28,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 2,998 | $28,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 1,500 | $28,000 | thousands by filing date | put |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 19,600 | $28,000 | thousands by filing date | put |
| ENOVIS CORP | 194014106 | COMMON STOCK | 760 | $28,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 3,000 | $28,000 | thousands by filing date | call |
| DRIVE SHACK INC | 262077100 | COM | 7,641 | $28,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 16,000 | $28,000 | thousands by filing date | call |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 1,940 | $27,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 1,200 | $27,000 | thousands by filing date | call |
| CRITEO S A SPONS ADS | 226718104 | ADR | 647 | $27,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,688 | $27,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 2,787 | $27,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 666 | $27,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 3,700 | $27,000 | thousands by filing date | call |
| MCDERMOTT INTL INC | 580037109 | COM | 3,600 | $27,000 | thousands by filing date | put |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 8,350 | $27,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B202 | PFD SER A CV | 408 | $27,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 580 | $26,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 200 | $26,000 | thousands by filing date | put |
| WORKDAY INC CL A | 98138H101 | Stock | 400 | $26,000 | thousands by filing date | put |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 600 | $26,000 | thousands by filing date | call |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 500 | $26,000 | thousands by filing date | put |
| LGI HOMES INC COM | 50187T106 | Stock | 900 | $26,000 | thousands by filing date | call |
| ISHARES TR | 464287812 | US CONSM STAPLES | 232 | $26,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 2,000 | $26,000 | thousands by filing date | call |
| SMUCKER J M CO | 832696405 | COM NEW | 200 | $26,000 | thousands by filing date | call |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 1,157 | $26,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 500 | $26,000 | thousands by filing date | call |
| BGC PARTNERS INC | 05541T101 | CL A | 2,500 | $26,000 | thousands by filing date | call |
| COMPUGEN LTD | M25722105 | ORD | 5,000 | $26,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 805 | $26,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 1,400 | $26,000 | thousands by filing date | call |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 400 | $26,000 | thousands by filing date | call |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 1,500 | $26,000 | thousands by filing date | put |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 1,100 | $26,000 | thousands by filing date | call |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 3,600 | $26,000 | thousands by filing date | call |
| ISHARES TR | 46434VAA8 | IBONDS DEC18 ETF | 1,030 | $26,000 | thousands by filing date | |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 1,700 | $26,000 | thousands by filing date | put |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 800 | $26,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 240 | $25,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 211 | $25,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 188 | $25,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 1,832 | $25,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 600 | $25,000 | thousands by filing date | call |
| INNOVIVA INC | 45781M101 | COM | 2,300 | $25,000 | thousands by filing date | call |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 1,478 | $25,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 240 | $25,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 8,800 | $25,000 | thousands by filing date | put |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,261 | $25,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 1,090 | $25,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 4,913 | $25,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 2,761 | $25,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 13,000 | $25,000 | thousands by filing date | call |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 2,083 | $25,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 500 | $25,000 | thousands by filing date | put |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 2,454 | $25,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 38,352 | $25,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 950 | $24,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 200 | $24,000 | thousands by filing date | |
| VOYA FINANCIAL INC COM | 929089100 | Stock | 600 | $24,000 | thousands by filing date | call |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 350 | $24,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 935 | $24,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,550 | $24,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 6,241 | $24,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 1,000 | $24,000 | thousands by filing date | put |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 7,700 | $24,000 | thousands by filing date | put |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 925 | $24,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 1,000 | $24,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 1,516 | $24,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 4,750 | $24,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 2,603 | $24,000 | thousands by filing date | |
| MULTI PACKAGING SOLUTIONS IN | G6331W109 | COM | 1,650 | $24,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 1,438 | $24,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 3,445 | $23,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 1,500 | $23,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 1,200 | $23,000 | thousands by filing date | call |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 1,734 | $23,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 1,810 | $23,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 2,834 | $23,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 2,251 | $23,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 1,000 | $23,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 938 | $23,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 1,300 | $23,000 | thousands by filing date | call |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 397 | $22,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 462 | $22,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 600 | $22,000 | thousands by filing date | call |
| AECOM COM | 00766T100 | Stock | 600 | $22,000 | thousands by filing date | put |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 2,773 | $22,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 566 | $22,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 200 | $22,000 | thousands by filing date | call |
| DISCOVERY INC | 25470F104 | COM SER A | 800 | $22,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 465 | $22,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 2,100 | $22,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,715 | $22,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 424 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 842 | $22,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,514 | $22,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,407 | $22,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 15,944 | $22,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 7,528 | $22,000 | thousands by filing date | |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 500 | $22,000 | thousands by filing date | call |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 5,061 | $22,000 | thousands by filing date |
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 |