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 |
|---|---|---|---|---|---|---|
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 1,756 | $22,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 11,165 | $22,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 830 | $21,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 1,455 | $21,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 1,000 | $21,000 | thousands by filing date | put |
| MINDBODY INC | 60255W105 | COM CL A | 1,001 | $21,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 1,545 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 1,100 | $21,000 | thousands by filing date | |
| ARCH COAL INC | 039380407 | COMMON STOCK | 261 | $21,000 | thousands by filing date | |
| SCRIPPS NETWORKS INTERACT IN | 811065101 | CL A COM | 300 | $21,000 | thousands by filing date | put |
| LEUCADIA NATL CORP | 527288104 | COM | 900 | $21,000 | thousands by filing date | put |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 419 | $21,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 1,298 | $21,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 3,468 | $21,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C302 | S&P SMALLCAP 600 | 317 | $21,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 500 | $20,000 | thousands by filing date | put |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 400 | $20,000 | thousands by filing date | call |
| BEONE MEDICINES LTD SPONSORED ADS | 07725L102 | ADR | 671 | $20,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 2,000 | $20,000 | thousands by filing date | put |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 1,000 | $20,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 800 | $20,000 | thousands by filing date | call |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 5,074 | $20,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 1,572 | $20,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 500 | $20,000 | thousands by filing date | call |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 600 | $20,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 400 | $20,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 1,399 | $20,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,000 | $20,000 | thousands by filing date | |
| RELX NV | 75955B102 | SPONSORED ADR | 1,158 | $20,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 6,484 | $20,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 700 | $20,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 26,950 | $20,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 3,888 | $20,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 1,000 | $20,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 6,348 | $20,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 3,467 | $20,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 10,200 | $20,000 | thousands by filing date | put |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 7,900 | $19,000 | thousands by filing date | call |
| FLOWSERVE CORP | 34354P105 | COM | 400 | $19,000 | thousands by filing date | call |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 12,200 | $19,000 | thousands by filing date | call |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 1,311 | $19,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 500 | $19,000 | thousands by filing date | put |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 1,380 | $19,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 1,300 | $19,000 | thousands by filing date | put |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 6,995 | $19,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 354 | $19,000 | thousands by filing date | |
| WILLIAMS PARTNERS L P NEW | 96949L105 | COM UNIT LTD PAR | 500 | $19,000 | thousands by filing date | put |
| TTOO | 89853L104 | Stock | 3,611 | $19,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 1,000 | $19,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 700 | $19,000 | thousands by filing date | call |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 400 | $19,000 | thousands by filing date | put |
| DYNATRONICS CORP | 268157401 | COM NEW | 8,335 | $19,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 2,220 | $19,000 | thousands by filing date | put |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 5,200 | $19,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 500 | $18,000 | thousands by filing date | put |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 3,089 | $18,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 728 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 750 | $18,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 1,500 | $18,000 | thousands by filing date | call |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 700 | $18,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 728 | $18,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 1,345 | $18,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 1,351 | $18,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 1,542 | $18,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 1,200 | $18,000 | thousands by filing date | put |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 3,670 | $18,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 2,500 | $18,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 554 | $18,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $18,000 | thousands by filing date | principal |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 8,000 | $18,000 | thousands by filing date | principal |
| PIER 1 IMPORTS INC | 720279108 | COM | 2,100 | $18,000 | thousands by filing date | put |
| Cbs Corporation Cl A New | 124857103 | CLA | 276 | $18,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 2,000 | $18,000 | thousands by filing date | call |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 881 | $18,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 14,200 | $18,000 | thousands by filing date | call |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 28,000 | $18,000 | thousands by filing date | principal |
| NEURODERM LTD | M74231107 | ORD SHS | 814 | $18,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 700 | $18,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 2,500 | $17,000 | thousands by filing date | put |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 1,966 | $17,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 815 | $17,000 | thousands by filing date | |
| BOSTON BEER INC CL A | 100557107 | Stock | 100 | $17,000 | thousands by filing date | put |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 162 | $17,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 295 | $17,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 600 | $17,000 | thousands by filing date | put |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 549 | $17,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 335 | $17,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 1,400 | $17,000 | thousands by filing date | call |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 5,000 | $17,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 658 | $17,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 1,000 | $17,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 700 | $17,000 | thousands by filing date | |
| MICROSEMI CORP | 595137100 | COM | 315 | $17,000 | thousands by filing date | call |
| EBIX INC | 278715206 | COM NEW | 300 | $17,000 | thousands by filing date | call |
| HYD | 92189F361 | ETF | 578 | $17,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 724 | $17,000 | thousands by filing date | |
| INC RESH HLDGS INC | 45329R109 | CL A | 329 | $17,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 735 | $17,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 1,076 | $17,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 6,761 | $17,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 7,500 | $17,000 | thousands by filing date | |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 15,000 | $17,000 | thousands by filing date | principal |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 500 | $16,000 | thousands by filing date | put |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 308 | $16,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 600 | $16,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 2,896 | $16,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F387 | SHRT HGH YLD MUN | 660 | $16,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 1,900 | $16,000 | thousands by filing date | put |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 1,060 | $16,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 330 | $16,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 500 | $16,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 1,000 | $16,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 661 | $16,000 | thousands by filing date | |
| ATWOOD OCEANICS INC | 050095108 | COM | 1,200 | $16,000 | thousands by filing date | call |
| INVENTURE FOODS INC | 461212102 | COM | 1,574 | $16,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 810 | $16,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAQ3 | ETF | 627 | $16,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 7,500 | $16,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 4,000 | $16,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 17,000 | $16,000 | thousands by filing date | principal |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 12,000 | $16,000 | thousands by filing date | principal |
| ADEPTUS HEALTH | 006855100 | Common Stock | 2,100 | $16,000 | thousands by filing date | call |
| EASTERLY ACQUISITION CORP | 27616L110 | *W EXP 07/29/202 | 45,000 | $16,000 | thousands by filing date | call |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 248 | $15,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 4,084 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 368 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 493 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 329 | $15,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 1,063 | $15,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 200 | $15,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 375 | $15,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 1,200 | $15,000 | thousands by filing date | put |
| KEY TRONIC CORP | 493144109 | COM | 1,973 | $15,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 50 | $15,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 1,611 | $15,000 | thousands by filing date | |
| Invesco S&P 500 Revenue ETF | 68386C104 | Exchange Traded Fund | 350 | $15,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 1,100 | $15,000 | thousands by filing date | put |
| HARVEST CAP CR CORP | 41753F109 | COM | 1,076 | $15,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 1,864 | $15,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 14,000 | $15,000 | thousands by filing date | principal |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 400 | $14,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 700 | $14,000 | thousands by filing date | call |
| GODADDY INC CL A | 380237107 | Stock | 400 | $14,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 288 | $14,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 3,500 | $14,000 | thousands by filing date | call |
| PLUG PWR INC | 72919P202 | COM NEW | 11,700 | $14,000 | thousands by filing date | call |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 100 | $14,000 | thousands by filing date | put |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 100 | $14,000 | thousands by filing date | call |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 2,000 | $14,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 3,219 | $14,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 333 | $14,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,210 | $14,000 | thousands by filing date | |
| SCRIPPS NETWORKS INTERACT IN | 811065101 | CL A COM | 200 | $14,000 | thousands by filing date | call |
| VIRNETX HLDG CORP | 92823T108 | COM | 6,500 | $14,000 | thousands by filing date | put |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 2,000 | $14,000 | thousands by filing date | put |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 10,157 | $14,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 10,538 | $14,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 14,300 | $14,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 4,292 | $14,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 235 | $14,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 1,101 | $14,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K570 | DAILY GOLD MINER | 1,800 | $14,000 | thousands by filing date | call |
| LENDINGCLUB CORP | 52603A109 | COM | 2,700 | $14,000 | thousands by filing date | put |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 8,220 | $14,000 | thousands by filing date | call |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 300 | $13,000 | thousands by filing date | call |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 150 | $13,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 1,251 | $13,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 2,600 | $13,000 | thousands by filing date | call |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 670 | $13,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 900 | $13,000 | thousands by filing date | call |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 900 | $13,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 759 | $13,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 1,003 | $13,000 | thousands by filing date | |
| AARONS INC | 002535300 | COM PAR $0.50 | 400 | $13,000 | thousands by filing date | put |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 697 | $13,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 900 | $13,000 | thousands by filing date | call |
| VOC ENERGY TR | 91829B103 | TR UNIT | 3,950 | $13,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 500 | $13,000 | thousands by filing date | call |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 1,045 | $13,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 700 | $13,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 5,700 | $13,000 | thousands by filing date | call |
| DBX ETF TR | 233051408 | FUND | 500 | $13,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 749 | $13,000 | thousands by filing date | |
| NEUSTAR INC | 64126X201 | CL A | 400 | $13,000 | thousands by filing date | put |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 776 | $13,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 133 | $13,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 2,874 | $13,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 1,000 | $13,000 | thousands by filing date | put |
| FXCM INC | 302693205 | Common Stock | 1,850 | $13,000 | thousands by filing date | call |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 230 | $12,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 6,000 | $12,000 | thousands by filing date | put |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 500 | $12,000 | thousands by filing date | put |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 1,984 | $12,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 600 | $12,000 | thousands by filing date | put |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 800 | $12,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 175 | $12,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 1,197 | $12,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 800 | $12,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 500 | $12,000 | thousands by filing date | call |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 500 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 195 | $12,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 450 | $12,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 200 | $12,000 | thousands by filing date | call |
| MCEWEN MNG INC | 58039P107 | COM | 4,079 | $12,000 | thousands by filing date | |
| LIFELOCK INC COM | 53224V100 | COM | 500 | $12,000 | thousands by filing date | put |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 800 | $12,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 600 | $12,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 241 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 847 | $12,000 | thousands by filing date | |
| AMAYA INC | 02314M108 | COM | 837 | $12,000 | thousands by filing date | |
| BEBE STORES INC COM NEW | 075571208 | Common Stock | 2,320 | $12,000 | thousands by filing date | put |
| ADEPTUS HEALTH | 006855100 | Common Stock | 1,600 | $12,000 | thousands by filing date | put |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 8,000 | $12,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 1,500 | $12,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 200 | $11,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 500 | $11,000 | thousands by filing date | put |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 1,000 | $11,000 | thousands by filing date | call |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 100 | $11,000 | thousands by filing date | call |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 4,800 | $11,000 | thousands by filing date | call |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 500 | $11,000 | thousands by filing date | put |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 500 | $11,000 | thousands by filing date | call |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 900 | $11,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 1,753 | $11,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 825 | $11,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 1,000 | $11,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 1,302 | $11,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 1,000 | $11,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 545 | $11,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 600 | $11,000 | thousands by filing date | put |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 600 | $11,000 | thousands by filing date | call |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 3,069 | $11,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $11,000 | thousands by filing date | call |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 1,638 | $11,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 2,016 | $11,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 384 | $11,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 100 | $10,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 210 | $10,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 700 | $10,000 | thousands by filing date | put |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 350 | $10,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 100 | $10,000 | thousands by filing date | put |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 200 | $10,000 | thousands by filing date | put |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 500 | $10,000 | thousands by filing date | call |
| ARISTA NETWORKS INC | 040413106 | COM | 100 | $10,000 | thousands by filing date | call |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 400 | $10,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 900 | $10,000 | thousands by filing date | put |
| HARRIS CORP INC | 413875105 | COM | 100 | $10,000 | thousands by filing date | put |
| SUNOPTA INC | 8676EP108 | COM | 1,455 | $10,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,611 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 277 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 257 | $10,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 338 | $10,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 3,000 | $10,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 1,000 | $10,000 | thousands by filing date | put |
| AVANTAX INC | 095229100 | COMMON STOCK | 700 | $10,000 | thousands by filing date | call |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 120 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 400 | $10,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 200 | $10,000 | thousands by filing date | call |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 1,500 | $10,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 955 | $10,000 | thousands by filing date | call |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 1,000 | $10,000 | thousands by filing date | put |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 400 | $10,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 500 | $10,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 4,687 | $10,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 10,000 | $10,000 | thousands by filing date | principal |
| FXCM INC | 302693205 | Common Stock | 1,450 | $10,000 | thousands by filing date | put |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 5,561 | $10,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 9,982 | $10,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 1,009 | $9,000 | thousands by filing date | |
| PAPA JOHNS INTL INC | 698813102 | COM | 100 | $9,000 | thousands by filing date | call |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 189 | $9,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 185 | $9,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 191 | $9,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 600 | $9,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 300 | $9,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 119 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 232 | $9,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 300 | $9,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 600 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 775 | $9,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 600 | $9,000 | thousands by filing date | call |
| ENERGEN CORP | 29265N108 | COM | 153 | $9,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 10,200 | $9,000 | thousands by filing date | put |
| SECUREWORKS CORP | 81374A105 | CL A | 861 | $9,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 1,606 | $9,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 785 | $9,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 1,385 | $9,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 197 | $9,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 839 | $9,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 2,630 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 600 | $9,000 | thousands by filing date | call |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 250 | $9,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 230 | $9,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 111 | $9,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 1,290 | $9,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 400 | $9,000 | thousands by filing date | put |
| InterContinental Hotels | 45857p608 | CS | 183 | $9,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 2,621 | $9,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 8,000 | $9,000 | thousands by filing date | principal |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 5,320 | $9,000 | thousands by filing date | put |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 100 | $8,000 | thousands by filing date | call |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 880 | $8,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 399 | $8,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 850 | $8,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 200 | $8,000 | thousands by filing date | put |
| LIVANOVA PLC | G5509L101 | SHS | 178 | $8,000 | thousands by filing date | |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 100 | $8,000 | thousands by filing date | put |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 100 | $8,000 | thousands by filing date | call |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 400 | $8,000 | thousands by filing date | call |
| VISTEON CORP | 92839U206 | COM NEW | 100 | $8,000 | thousands by filing date | put |
| INVITAE CORP | 46185L103 | COM | 977 | $8,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 200 | $8,000 | thousands by filing date | call |
| TRI POINTE HOMES INC | 87265H109 | COM | 700 | $8,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 110 | $8,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 300 | $8,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 1,150 | $8,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 1,287 | $8,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 2,500 | $8,000 | thousands by filing date | call |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 500 | $8,000 | thousands by filing date | put |
| ORBCOMM INC | 68555P100 | COM | 929 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 250 | $8,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 1,900 | $8,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 270 | $8,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 400 | $8,000 | thousands by filing date | put |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 7,600 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 110 | $8,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 1,715 | $8,000 | thousands by filing date | |
| AXAR ACQUISITION CORP | 05455L110 | *W EXP 12/31/202 | 105,541 | $8,000 | thousands by filing date | call |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 175 | $7,000 | thousands by filing date | put |
| Schwab US REIT ETF | 808524847 | SHS | 160 | $7,000 | thousands by filing date | |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 100 | $7,000 | thousands by filing date | call |
| HORMEL FOODS CORP COM | 440452100 | Stock | 200 | $7,000 | thousands by filing date | call |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 200 | $7,000 | thousands by filing date | put |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 67 | $7,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 4,200 | $7,000 | thousands by filing date | put |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 1,100 | $7,000 | thousands by filing date | |
| EDGEWELL PERSONAL CARE CO | 28035Q102 | COM | 100 | $7,000 | thousands by filing date | call |
| HEICO CORP NEW | 422806208 | CL A | 105 | $7,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 400 | $7,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 1,255 | $7,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 491 | $7,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 1,200 | $7,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 459 | $7,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 580 | $7,000 | thousands by filing date | |
| PROOFPOINT INC | 743424103 | COM | 100 | $7,000 | thousands by filing date | call |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 400 | $7,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 523 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 600 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 222 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 100 | $7,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 307 | $7,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 200 | $7,000 | thousands by filing date | put |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 4,200 | $7,000 | thousands by filing date | call |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,000 | $7,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 360 | $7,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 1,100 | $7,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 3,000 | $7,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 7,000 | $7,000 | thousands by filing date | principal |
| KONA GRILL INC | 50047H201 | COM | 519 | $7,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 500 | $7,000 | thousands by filing date | put |
| TREVENA INC | 89532E109 | COM | 1,200 | $7,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 1,284 | $7,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 310 | $7,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT | 74347W254 | CEF | 826 | $7,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 6,000 | $7,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 294 | $7,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 50 | $6,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 200 | $6,000 | thousands by filing date | call |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 500 | $6,000 | thousands by filing date | put |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 500 | $6,000 | thousands by filing date | call |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 100 | $6,000 | thousands by filing date | put |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 1,000 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 294 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 250 | $6,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 1,500 | $6,000 | thousands by filing date | put |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 500 | $6,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 181 | $6,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 611 | $6,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 565 | $6,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 450 | $6,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 400 | $6,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 631 | $6,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 400 | $6,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 500 | $6,000 | thousands by filing date | put |
| MERITOR INC | 59001K100 | COMMON STOCK | 500 | $6,000 | thousands by filing date | call |
| Hugoton Royalty Trust | 444717102 | COM | 2,916 | $6,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 269 | $6,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 168 | $6,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 100 | $6,000 | thousands by filing date | put |
| RETROPHIN INC | 761299106 | COM | 300 | $6,000 | thousands by filing date | put |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 2,700 | $6,000 | thousands by filing date | call |
| NEVSUN RES LTD | 64156L101 | COM | 1,868 | $6,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 470 | $6,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 4,200 | $6,000 | thousands by filing date | put |
| SYNACOR INC | 871561106 | COM | 2,000 | $6,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 600 | $6,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 250 | $6,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 250 | $6,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 500 | $6,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 469 | $6,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 1,104 | $6,000 | thousands by filing date | |
| FXCM INC | 302693205 | Common Stock | 799 | $6,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 3,500 | $6,000 | thousands by filing date | put |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 75 | $5,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 70 | $5,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 700 | $5,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 300 | $5,000 | thousands by filing date | put |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 250 | $5,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R866 | INTER MUN BD ACT | 100 | $5,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 666 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 251 | $5,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 680 | $5,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 381 | $5,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 153 | $5,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 300 | $5,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 395 | $5,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 935 | $5,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 200 | $5,000 | thousands by filing date | put |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 118 | $5,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 111 | $5,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 953 | $5,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 4,600 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 300 | $5,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 688 | $5,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 100 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 271 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 200 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 100 | $5,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 1,308 | $5,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 451 | $5,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 6,000 | $5,000 | thousands by filing date | principal |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 1,319 | $5,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 2,600 | $5,000 | thousands by filing date | put |
| CARA THERAPEUTICS INC | 140755109 | COM | 512 | $5,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 1,800 | $5,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 2,331 | $5,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 2,001 | $5,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 658 | $5,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 200 | $5,000 | thousands by filing date | put |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 10,376 | $5,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 100 | $5,000 | thousands by filing date | put |
| SHUTTERFLY INC | 82568P304 | COM | 100 | $5,000 | thousands by filing date | call |
| HARTE-HANKS INC | 416196103 | COM | 3,771 | $5,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 350 | $5,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 13,000 | $5,000 | thousands by filing date | call |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 200 | $5,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 1,062 | $5,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 150 | $5,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 700 | $5,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 290 | $5,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W882 | CONSUMR DISCRT | 58 | $5,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 95 | $5,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 432 | $5,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 900 | $5,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C203 | S&P MDCP 400 REV | 100 | $5,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 225 | $5,000 | thousands by filing date | |
| BulletShares 2024 Corporate | 18383M233 | COM | 250 | $5,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 600 | $5,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO DEP SHS 120 B | 845467208 | Convertible Preferred | 209 | $5,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 25,826 | $5,000 | thousands by filing date | call |
| ELBIT IMAGING LTD | M37605124 | SHS | 1,586 | $5,000 | thousands by filing date | |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| PFPT1.25 12/18 | 743424AB9 | Bond 30/360P2 U | 3,000 | $5,000 | thousands by filing date | principal |
| PROSHARES VIX SHORT-TERM FUTURES ETF | 74347W262 | ETF | 220 | $5,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 151 | $4,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 100 | $4,000 | thousands by filing date | put |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 1,300 | $4,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 90 | $4,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 200 | $4,000 | thousands by filing date | call |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 4,088 | $4,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 72 | $4,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 100 | $4,000 | thousands by filing date | call |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 200 | $4,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 99 | $4,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 100 | $4,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 70 | $4,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 100 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 203 | $4,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 322 | $4,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 937 | $4,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 728 | $4,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 100 | $4,000 | thousands by filing date | put |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 839 | $4,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 194 | $4,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 572 | $4,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 2,070 | $4,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 350 | $4,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 1,255 | $4,000 | thousands by filing date | |
| ISHARES DOW JONES UBS ROLL S | 45032K102 | SHS BEN INT | 120 | $4,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 1,100 | $4,000 | thousands by filing date | call |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 2,400 | $4,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 1,043 | $4,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 744,131 | $4,000 | thousands by filing date | call |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 2,030 | $4,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 5,358 | $4,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 200 | $4,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 900 | $4,000 | thousands by filing date | put |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 267 | $4,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 117 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 150 | $4,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 480 | $4,000 | 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 |