13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2017-03-31, filed 2017-05-12, with 7,305 holding rows worth $112,211,495,000.
- Accession
- 0000831001-17-000085
- Filer
- CIK 831001
- Filed
- 2017-05-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2017
A holdings report, 15,935 entries on the cover page, a total value of $112,211,495,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $112,211,495,000 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 |
|---|---|---|---|---|---|---|
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 1,404 | $32,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 2,603 | $32,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 3,481 | $32,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 2,400 | $32,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 794 | $31,000 | thousands by filing date | |
| MANPOWERGROUP INC WIS COM | 56418H100 | Stock | 300 | $31,000 | thousands by filing date | call |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 1,884 | $31,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 1,827 | $31,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 400 | $31,000 | thousands by filing date | put |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 1,609 | $31,000 | thousands by filing date | |
| SUNOCO LP/SUNOCO FIN CORP | 86765K109 | COM UT REP LP | 1,300 | $31,000 | thousands by filing date | put |
| CERUS CORP | 157085101 | COM | 7,000 | $31,000 | thousands by filing date | put |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 1,000 | $31,000 | thousands by filing date | put |
| PROTO LABS INC | 743713109 | COM | 600 | $31,000 | thousands by filing date | call |
| SANDERSON FARMS | 800013104 | COM | 300 | $31,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 1,034 | $31,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 1,499 | $31,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 2,200 | $31,000 | thousands by filing date | call |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 1,700 | $31,000 | thousands by filing date | put |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 1,359 | $31,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 2,002 | $31,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 5,404 | $31,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 3,169 | $31,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 3,300 | $31,000 | thousands by filing date | put |
| CENTERSTATE BK CORP | 15201P109 | COM | 1,194 | $31,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 1,700 | $31,000 | thousands by filing date | put |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 4,500 | $31,000 | thousands by filing date | put |
| SI FINL GROUP INC MD | 78425V104 | COM | 2,214 | $31,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 1,300 | $31,000 | thousands by filing date | call |
| OPHTHOTECH CORP | 683745103 | COM | 8,496 | $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 |
| BEAR ST FINL INC | 073844102 | COM | 3,302 | $31,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 1,541 | $30,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 400 | $30,000 | thousands by filing date | call |
| MODINE MFG CO COM | 607828100 | Stock | 2,399 | $30,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 666 | $30,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 1,620 | $30,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 1,766 | $30,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 3,100 | $30,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 4,483 | $30,000 | thousands by filing date | |
| MINDBODY INC | 60255W105 | COM CL A | 1,056 | $30,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 1,205 | $30,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 1,929 | $30,000 | thousands by filing date | |
| RELX NV | 75955B102 | SPONSORED ADR | 1,592 | $30,000 | thousands by filing date | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 1,524 | $30,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 1,480 | $30,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 5,778 | $30,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 2,030 | $30,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 1,244 | $30,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 2,005 | $30,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 7,595 | $30,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 1,465 | $30,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 4,500 | $30,000 | thousands by filing date | call |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 1,500 | $30,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 23,000 | $30,000 | thousands by filing date | principal |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 244 | $29,000 | thousands by filing date | |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 2,000 | $29,000 | thousands by filing date | call |
| BOX INC CL A | 10316T104 | Stock | 1,788 | $29,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 1,026 | $29,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 6,535 | $29,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 1,157 | $29,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 1,700 | $29,000 | thousands by filing date | call |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 1,100 | $29,000 | thousands by filing date | put |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 2,010 | $29,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 2,435 | $29,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 1,729 | $29,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 1,019 | $29,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 6,621 | $29,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 8,150 | $29,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 4,515 | $29,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 1,600 | $28,000 | thousands by filing date | call |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 3,340 | $28,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 232 | $28,000 | thousands by filing date | |
| HEXCEL CORP NEW | 428291108 | COM | 513 | $28,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 2,127 | $28,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 401 | $28,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 1,500 | $28,000 | thousands by filing date | put |
| ATWOOD OCEANICS INC | 050095108 | COM | 2,900 | $28,000 | thousands by filing date | call |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 600 | $28,000 | thousands by filing date | call |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 538 | $28,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 28,000 | $28,000 | thousands by filing date | principal |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 445 | $27,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 580 | $27,000 | thousands by filing date | |
| HUBSPOTINC | 443573100 | STOK | 430 | $27,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 2,100 | $27,000 | thousands by filing date | put |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 6,261 | $27,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 1,100 | $27,000 | thousands by filing date | call |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 10,500 | $27,000 | thousands by filing date | put |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 1,206 | $27,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 1,600 | $27,000 | thousands by filing date | put |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 2,163 | $27,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 2,000 | $27,000 | thousands by filing date | put |
| ATYR PHARMA INC | 002120103 | COM | 7,800 | $27,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 1,494 | $27,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 5,694 | $27,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 650 | $26,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 750 | $26,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 208 | $26,000 | thousands by filing date | |
| SILGAN HLDGS INC | 827048109 | COM | 430 | $26,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 1,832 | $26,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 1,300 | $26,000 | thousands by filing date | call |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,550 | $26,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 1,900 | $26,000 | thousands by filing date | call |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 240 | $26,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 599 | $26,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 2,286 | $26,000 | thousands by filing date | |
| BANK OF THE OZARKS | 063904106 | COM | 500 | $26,000 | thousands by filing date | call |
| VANTIV INC | 92210H105 | CL A | 400 | $26,000 | thousands by filing date | put |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 1,147 | $26,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 6,300 | $26,000 | thousands by filing date | put |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 938 | $26,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 20,000 | $26,000 | thousands by filing date | principal |
| AUTONATION INC COM | 05329W102 | Stock | 600 | $25,000 | thousands by filing date | call |
| FLOWERS FOODS INC COM | 343498101 | Stock | 1,300 | $25,000 | thousands by filing date | put |
| FLOWERS FOODS INC COM | 343498101 | Stock | 1,300 | $25,000 | thousands by filing date | call |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 240 | $25,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 951 | $25,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 2,500 | $25,000 | thousands by filing date | call |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 350 | $25,000 | thousands by filing date | |
| COMMVAULT SYS INC COM | 204166102 | Stock | 500 | $25,000 | thousands by filing date | call |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 17,000 | $25,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 500 | $25,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 159 | $25,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 5,500 | $25,000 | thousands by filing date | call |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 1,836 | $25,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 2,700 | $25,000 | thousands by filing date | call |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 222 | $25,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 1,278 | $25,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R878 | DORSEY WRIGHT | 1,100 | $25,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 881 | $25,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 2,834 | $25,000 | thousands by filing date | |
| COLONY NORTHSTAR INC | 19625W104 | CL A COM | 1,917 | $25,000 | thousands by filing date | put |
| CURIS INC | 231269101 | COM | 8,969 | $25,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 1,755 | $25,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 8,239 | $25,000 | thousands by filing date | |
| ADVISORY BOARD CO/THE | 00762W107 | Domestic Common | 538 | $25,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 2,640 | $25,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 4,244 | $25,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 4,200 | $25,000 | thousands by filing date | call |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 1,516 | $25,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 4,750 | $25,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 1,470 | $25,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 1,800 | $25,000 | thousands by filing date | call |
| NEVRO CORP | 64157FAA1 | BOND | 21,000 | $25,000 | thousands by filing date | principal |
| iShares Global REIT ETF | 46434V647 | SHS | 950 | $24,000 | thousands by filing date | |
| PEGASYSTEMS INC COM | 705573103 | Stock | 537 | $24,000 | thousands by filing date | |
| INGREDION INC COM | 457187102 | Stock | 200 | $24,000 | thousands by filing date | put |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 400 | $24,000 | thousands by filing date | put |
| OMEROS CORP | 682143102 | COM | 1,617 | $24,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 407 | $24,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 1,300 | $24,000 | thousands by filing date | call |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 438 | $24,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 200 | $24,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 465 | $24,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 1,230 | $24,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 453 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 630 | $24,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 5,959 | $24,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 1,399 | $24,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,514 | $24,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 1,154 | $24,000 | thousands by filing date | |
| WILDHORSE RESOURCE DEV CORP | 96812T102 | COM | 1,913 | $24,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 1,000 | $24,000 | thousands by filing date | put |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 6,084 | $24,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 1,321 | $24,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 500 | $24,000 | thousands by filing date | put |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 9,360 | $24,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 593 | $24,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701115 | WARRANT | 2,100 | $24,000 | thousands by filing date | call |
| LIBERTY EXPEDIA HLDGS INC | 53046P109 | SER A COM | 529 | $24,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 4,000 | $24,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 212 | $23,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 600 | $23,000 | thousands by filing date | call |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 769 | $23,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 1,761 | $23,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 600 | $23,000 | thousands by filing date | call |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 1,000 | $23,000 | thousands by filing date | put |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 3,755 | $23,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 1,438 | $23,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 2,500 | $23,000 | thousands by filing date | put |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 1,751 | $23,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 600 | $23,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 500 | $23,000 | thousands by filing date | put |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 834 | $23,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 1,087 | $23,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 1,600 | $23,000 | thousands by filing date | call |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 1,727 | $23,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 7,300 | $23,000 | thousands by filing date | put |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 600 | $23,000 | thousands by filing date | call |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 2,830 | $23,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 4,500 | $23,000 | thousands by filing date | put |
| MMA Capital Management LLC | 55315D105 | COM | 1,000 | $23,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 6,100 | $23,000 | thousands by filing date | call |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 500 | $23,000 | thousands by filing date | call |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 6,629 | $23,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 3,300 | $23,000 | thousands by filing date | call |
| DYNATRONICS CORP | 268157401 | COM NEW | 8,335 | $23,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 6,140 | $23,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 19,000 | $23,000 | thousands by filing date | principal |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 800 | $23,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 230 | $22,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 1,265 | $22,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 2,800 | $22,000 | thousands by filing date | put |
| TERADATA CORP DEL | 88076W103 | COM | 700 | $22,000 | thousands by filing date | call |
| MAXLINEAR INC | 57776J100 | COM | 800 | $22,000 | thousands by filing date | call |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,715 | $22,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 2,382 | $22,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 11,249 | $22,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 963 | $22,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 400 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 1,100 | $22,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,045 | $22,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,407 | $22,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 3,941 | $22,000 | thousands by filing date | |
| REXNORD CORP | 76169B102 | COMMON STOCK | 933 | $22,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 7,101 | $22,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 9,000 | $22,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 700 | $22,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 7,200 | $22,000 | thousands by filing date | put |
| HEALTHSOUTH CORP | 421924309 | COM NEW | 520 | $22,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 711 | $22,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 2,094 | $22,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 2,105 | $22,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 830 | $21,000 | thousands by filing date | |
| SANDERSON FARMS | 800013104 | COM | 200 | $21,000 | thousands by filing date | call |
| SUNPOWER CORP | 867652406 | COM | 3,400 | $21,000 | thousands by filing date | put |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 1,874 | $21,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 1,380 | $21,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 1,562 | $21,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 1,492 | $21,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 1,000 | $21,000 | thousands by filing date | put |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 10,802 | $21,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 354 | $21,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 1,000 | $21,000 | thousands by filing date | put |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 33,500 | $21,000 | thousands by filing date | put |
| VONAGE HLDGS CORP | 92886T201 | COM | 3,300 | $21,000 | thousands by filing date | call |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 6,517 | $21,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 4,700 | $21,000 | thousands by filing date | put |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 1,660 | $21,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 800 | $21,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 3,471 | $21,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 28,000 | $21,000 | thousands by filing date | principal |
| OPPENHEIMER ETF TR | 68386C302 | S&P SMALLCAP 600 | 317 | $21,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 6,178 | $21,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 1,500 | $21,000 | thousands by filing date | put |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 5,500 | $21,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 1,669 | $20,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 650 | $20,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 1,200 | $20,000 | thousands by filing date | call |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 6,000 | $20,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 6,323 | $20,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 179 | $20,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 2,036 | $20,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 500 | $20,000 | thousands by filing date | put |
| AVANGRID INC | 05351W103 | COM | 472 | $20,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 375 | $20,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 1,154 | $20,000 | thousands by filing date | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 900 | $20,000 | thousands by filing date | put |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,153 | $20,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 4,636 | $20,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 1,442 | $20,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 4,700 | $20,000 | thousands by filing date | call |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 2,150 | $20,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 762 | $20,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 730 | $20,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 984 | $20,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 3,400 | $20,000 | thousands by filing date | put |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 1,193 | $20,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 2,899 | $20,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 350 | $19,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 200 | $19,000 | thousands by filing date | call |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 3,074 | $19,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 999 | $19,000 | thousands by filing date | |
| VAIL RESORTS INC COM | 91879Q109 | Stock | 100 | $19,000 | thousands by filing date | put |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 2,332 | $19,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 1,455 | $19,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 400 | $19,000 | thousands by filing date | put |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 900 | $19,000 | thousands by filing date | put |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 1,311 | $19,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 2,566 | $19,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 1,367 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 251 | $19,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 2,500 | $19,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 1,000 | $19,000 | thousands by filing date | call |
| VERADIGM INC | 01988P108 | COMMON STOCK | 1,500 | $19,000 | thousands by filing date | put |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 634 | $19,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 10,157 | $19,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 852 | $19,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 277 | $19,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 3,028 | $19,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 723 | $19,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 881 | $19,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 5,166 | $19,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 700 | $19,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 100 | $18,000 | thousands by filing date | put |
| BECTON DICKINSON & CO | 075887109 | COM | 100 | $18,000 | thousands by filing date | call |
| SURGERY PARTNERS INC | 86881A100 | COM | 957 | $18,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 1,461 | $18,000 | thousands by filing date | |
| KEMPER CORP COM | 488401100 | Stock | 453 | $18,000 | thousands by filing date | |
| SYNAPTICS INC COM | 87157D109 | Stock | 370 | $18,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 162 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 750 | $18,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 317 | $18,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 552 | $18,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 2,197 | $18,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 335 | $18,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 728 | $18,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 500 | $18,000 | thousands by filing date | call |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 1,345 | $18,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 566 | $18,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 500 | $18,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 1,000 | $18,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 1,000 | $18,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 1,000 | $18,000 | thousands by filing date | put |
| HYD | 92189F361 | ETF | 578 | $18,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 1,078 | $18,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 4,700 | $18,000 | thousands by filing date | call |
| NEVSUN RES LTD | 64156L101 | COM | 7,160 | $18,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 1,300 | $18,000 | thousands by filing date | put |
| HILL INTERNATIONAL INC | 431466101 | COM | 4,318 | $18,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K570 | DAILY GOLD MINER | 2,000 | $18,000 | thousands by filing date | call |
| ACTUA CORPORATION | 005094107 | COM | 1,285 | $18,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 3,727 | $18,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 720 | $18,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 378 | $17,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 500 | $17,000 | thousands by filing date | put |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 2,000 | $17,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657101 | COM | 400 | $17,000 | thousands by filing date | put |
| CABOT CORP | 127055101 | COM | 288 | $17,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 3,523 | $17,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 1,600 | $17,000 | thousands by filing date | call |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 1,027 | $17,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 329 | $17,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 898 | $17,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 1,200 | $17,000 | thousands by filing date | put |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 3,670 | $17,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 3,774 | $17,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 5,500 | $17,000 | thousands by filing date | put |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 1,771 | $17,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 7,700 | $17,000 | thousands by filing date | call |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 759 | $17,000 | thousands by filing date | |
| Invesco S&P 500 Revenue ETF | 68386C104 | Exchange Traded Fund | 373 | $17,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 2,722 | $17,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 2,986 | $17,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 3,888 | $17,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 949 | $17,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 2,073 | $17,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 1,122 | $17,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 3,120 | $17,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 6,686 | $17,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 1,500 | $17,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 3,581 | $17,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 1,759 | $17,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 300 | $16,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 2,899 | $16,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 1,049 | $16,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 100 | $16,000 | thousands by filing date | put |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 1,750 | $16,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 800 | $16,000 | thousands by filing date | put |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 6,500 | $16,000 | thousands by filing date | call |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 248 | $16,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 3,133 | $16,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 398 | $16,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 2,300 | $16,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 4,866 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 400 | $16,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 1,304 | $16,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 1,335 | $16,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 867 | $16,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 1,472 | $16,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 600 | $16,000 | thousands by filing date | put |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $16,000 | thousands by filing date | principal |
| ENERGOUS CORP | 29272C103 | COM | 1,000 | $16,000 | thousands by filing date | put |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 16,600 | $16,000 | thousands by filing date | call |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 4,968 | $16,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 831 | $16,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 2,700 | $16,000 | thousands by filing date | call |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 5,000 | $16,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 17,000 | $16,000 | thousands by filing date | principal |
| COTIVITI HLDGS INC | 22164K101 | COM | 385 | $16,000 | thousands by filing date | |
| EASTERLY ACQUISITION CORP | 27616L110 | *W EXP 07/29/202 | 45,400 | $16,000 | thousands by filing date | call |
| INVESCO LTD SHS | G491BT108 | Stock | 500 | $15,000 | thousands by filing date | put |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 1,300 | $15,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 100 | $15,000 | thousands by filing date | put |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 100 | $15,000 | thousands by filing date | call |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 287 | $15,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 502 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 525 | $15,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 500 | $15,000 | thousands by filing date | put |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 897 | $15,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 800 | $15,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 281 | $15,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 5,000 | $15,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 1,000 | $15,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 450 | $15,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 339 | $15,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 1,861 | $15,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 2,676 | $15,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 1,611 | $15,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 615 | $15,000 | thousands by filing date | |
| BUFFALO WILD WINGS INC | 119848109 | COMMON STOCK | 100 | $15,000 | thousands by filing date | put |
| BUFFALO WILD WINGS INC | 119848109 | COMMON STOCK | 100 | $15,000 | thousands by filing date | call |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 387 | $15,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 1,000 | $15,000 | thousands by filing date | put |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 1,115 | $15,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 725 | $15,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 894 | $15,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 27,600 | $15,000 | thousands by filing date | put |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 10,000 | $15,000 | thousands by filing date | put |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 223 | $15,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 235 | $15,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 570 | $15,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 12,300 | $15,000 | thousands by filing date | call |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 1,126 | $15,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 1,358 | $15,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 4,600 | $15,000 | thousands by filing date | call |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 300 | $14,000 | thousands by filing date | call |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 150 | $14,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 6,200 | $14,000 | thousands by filing date | put |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 900 | $14,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 265 | $14,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 288 | $14,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 2,000 | $14,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 5,400 | $14,000 | thousands by filing date | call |
| KEY TRONIC CORP | 493144109 | COM | 1,973 | $14,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 200 | $14,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 3,950 | $14,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,210 | $14,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 4,200 | $14,000 | thousands by filing date | put |
| CARA THERAPEUTICS INC | 140755109 | COM | 760 | $14,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 210 | $14,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 2,200 | $14,000 | thousands by filing date | put |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 700 | $14,000 | thousands by filing date | put |
| DBX ETF TR | 233051408 | FUND | 500 | $14,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 353 | $14,000 | thousands by filing date | |
| SWIFT TRANSPORTATION CO | 87074U101 | COM | 700 | $14,000 | thousands by filing date | call |
| PIER 1 IMPORTS INC | 720279108 | COM | 1,900 | $14,000 | thousands by filing date | put |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 1,100 | $14,000 | thousands by filing date | call |
| AMYRIS INC | 03236M101 | COM | 26,950 | $14,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 14,300 | $14,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 287 | $14,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,059 | $14,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 1,101 | $14,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 2,091 | $14,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 736 | $14,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 4,687 | $14,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 8,000 | $14,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 23,400 | $14,000 | thousands by filing date | call |
| GERON CORP | 374163103 | COM | 5,800 | $13,000 | thousands by filing date | call |
| WEIS MKTS INC COM | 948849104 | Stock | 222 | $13,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 2,500 | $13,000 | thousands by filing date | put |
| GENTEX CORP COM | 371901109 | Stock | 600 | $13,000 | thousands by filing date | put |
| BOX INC CL A | 10316T104 | Stock | 800 | $13,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R506 | RISNG DIVD ACHIV | 498 | $13,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 7,000 | $13,000 | thousands by filing date | put |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 573 | $13,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 800 | $13,000 | thousands by filing date | |
| MACERICH CO | 554382101 | COM | 200 | $13,000 | thousands by filing date | put |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 759 | $13,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 974 | $13,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 525 | $13,000 | thousands by filing date | |
| WADDELL & REED FINL INC | 930059100 | CL A | 784 | $13,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 577 | $13,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 212 | $13,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 1,649 | $13,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 820 | $13,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 6,232 | $13,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 1,045 | $13,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 1,000 | $13,000 | thousands by filing date | call |
| ASANKO GOLD INC | 04341Y105 | COM | 4,801 | $13,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 358 | $13,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 3,000 | $13,000 | thousands by filing date | call |
| SONIC CORP | 835451105 | COM | 500 | $13,000 | thousands by filing date | call |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 600 | $13,000 | thousands by filing date | put |
| EXONE CO | 302104104 | COM | 1,297 | $13,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 12,380 | $13,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 1,400 | $13,000 | thousands by filing date | put |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 3,116 | $13,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 1,500 | $13,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 847 | $13,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 1,600 | $13,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 969 | $13,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 9,800 | $13,000 | thousands by filing date | call |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 1,000 | $13,000 | thousands by filing date | put |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 500 | $12,000 | thousands by filing date | call |
| SUNRUN INC | 86771W105 | COM | 2,171 | $12,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 57 | $12,000 | thousands by filing date | |
| PAPA JOHNS INTL INC | 698813102 | COM | 150 | $12,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 700 | $12,000 | thousands by filing date | put |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 1,062 | $12,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 800 | $12,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 800 | $12,000 | thousands by filing date | call |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 500 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 825 | $12,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 670 | $12,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 1,436 | $12,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 800 | $12,000 | thousands by filing date | put |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 195 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 257 | $12,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 361 | $12,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-17-000085 | this filing | 2017-05-12 | acceptance time not in the bulk data set |