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 |
|---|---|---|---|---|---|---|
| AIR LEASE CORP | 00912X302 | CL A | 300 | $12,000 | thousands by filing date | call |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 400 | $12,000 | thousands by filing date | put |
| CORE LABORATORIES N V | N22717107 | COM | 100 | $12,000 | thousands by filing date | put |
| ORBCOMM INC | 68555P100 | COM | 1,257 | $12,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 545 | $12,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 10,700 | $12,000 | thousands by filing date | call |
| BOINGO WIRELESS INC | 09739C102 | COM | 920 | $12,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 3,073 | $12,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 800 | $12,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 750 | $12,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 241 | $12,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 10,260 | $12,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 3,300 | $12,000 | thousands by filing date | call |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 1,393 | $12,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 3,500 | $11,000 | thousands by filing date | put |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 200 | $11,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 500 | $11,000 | thousands by filing date | put |
| GENIE ENERGY LTD | 372284208 | CL B | 1,482 | $11,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 670 | $11,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 385 | $11,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 1,000 | $11,000 | thousands by filing date | call |
| A10 NETWORKS INC | 002121101 | COM | 1,185 | $11,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 406 | $11,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 1,037 | $11,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 900 | $11,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 486 | $11,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 200 | $11,000 | thousands by filing date | put |
| TRI POINTE HOMES INC | 87265H109 | COM | 900 | $11,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 277 | $11,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 3,000 | $11,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 841 | $11,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 200 | $11,000 | thousands by filing date | put |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 854 | $11,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102X105 | COMMON STOCK | 800 | $11,000 | thousands by filing date | put |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 848 | $11,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 2,272 | $11,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 1,007 | $11,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 120 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 400 | $11,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 900 | $11,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 955 | $11,000 | thousands by filing date | call |
| POWERSHARES GLOBAL EXCHANGE TRADED FD TR I-30 LADDERED | 73936T524 | ETF | 357 | $11,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 1,759 | $11,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 384 | $11,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 5,003 | $11,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 78 | $11,000 | thousands by filing date | |
| SFLY 0.25 5/18 | 82568PAB2 | Bond 30/360P2 U | 11,000 | $11,000 | thousands by filing date | principal |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 641 | $11,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 100 | $10,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 653 | $10,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 6,880 | $10,000 | thousands by filing date | call |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 500 | $10,000 | thousands by filing date | call |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 340 | $10,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 329 | $10,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 902 | $10,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 7,600 | $10,000 | thousands by filing date | call |
| VIASAT INC | 92552V100 | COM | 149 | $10,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 100 | $10,000 | thousands by filing date | put |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 500 | $10,000 | thousands by filing date | put |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 600 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 400 | $10,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 181 | $10,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 300 | $10,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 600 | $10,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 484 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 775 | $10,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 3,882 | $10,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 1,200 | $10,000 | thousands by filing date | put |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 600 | $10,000 | thousands by filing date | call |
| MODEL N INC | 607525102 | COM | 917 | $10,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 291 | $10,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 197 | $10,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 389 | $10,000 | thousands by filing date | |
| SWIFT TRANSPORTATION CO | 87074U101 | COM | 500 | $10,000 | thousands by filing date | put |
| RICHMONT MINES INC | 76547T106 | COM | 1,423 | $10,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 21,500 | $10,000 | thousands by filing date | call |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 860 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 230 | $10,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 7,226 | $10,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 11,235 | $10,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 10,000 | $10,000 | thousands by filing date | principal |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 2,700 | $10,000 | thousands by filing date | put |
| NRG YIELD INC | 62942X306 | COM | 556 | $10,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 1,734 | $10,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 700 | $9,000 | thousands by filing date | put |
| LITHIA MTRS INC COM | 536797103 | Stock | 100 | $9,000 | thousands by filing date | call |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 173 | $9,000 | thousands by filing date | |
| JELD-WEN HLDG INC | 47580P103 | COM | 292 | $9,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 293 | $9,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 153 | $9,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 600 | $9,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 185 | $9,000 | thousands by filing date | |
| UNIVERSAL ELECTRS INC | 913483103 | COM | 138 | $9,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 393 | $9,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 444 | $9,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 2,000 | $9,000 | thousands by filing date | call |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 256 | $9,000 | thousands by filing date | |
| 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 | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 600 | $9,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 300 | $9,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 919 | $9,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 4,200 | $9,000 | thousands by filing date | call |
| DIEBOLD NXDF INC | 253651103 | COM | 304 | $9,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 3,271 | $9,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 5,079 | $9,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 4,000 | $9,000 | thousands by filing date | put |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 2,600 | $9,000 | thousands by filing date | call |
| Bowater Inc | 09066L105 | COMMON STOCKS | 2,751 | $9,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 1,385 | $9,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 622 | $9,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 2,400 | $9,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 1,700 | $9,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 2,637 | $9,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 200 | $9,000 | thousands by filing date | put |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $9,000 | thousands by filing date | call |
| GSV CAPITAL CORP | 36191J101 | COM | 2,062 | $9,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 111 | $9,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 2,900 | $9,000 | thousands by filing date | call |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 270 | $9,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 3,504 | $9,000 | thousands by filing date | |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 2,000 | $9,000 | thousands by filing date | principal |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 353 | $9,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 529 | $8,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 200 | $8,000 | thousands by filing date | put |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 783 | $8,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 1,300 | $8,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 200 | $8,000 | thousands by filing date | put |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 456 | $8,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 1,100 | $8,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 105 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 189 | $8,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 300 | $8,000 | thousands by filing date | put |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 4,088 | $8,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 400 | $8,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 675 | $8,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 459 | $8,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 1,200 | $8,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 178 | $8,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 1,451 | $8,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 692 | $8,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 764 | $8,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 455 | $8,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 965 | $8,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 457 | $8,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 155 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 300 | $8,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 200 | $8,000 | thousands by filing date | put |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 2,046 | $8,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 1,000 | $8,000 | thousands by filing date | call |
| TRIANGLE CAP CORP | 895848109 | COM | 400 | $8,000 | thousands by filing date | put |
| ENERNOC INC | 292764107 | COMMON STOCK | 1,364 | $8,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 558 | $8,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 1,974 | $8,000 | thousands by filing date | |
| IMPERVA INC | 45321L100 | COM | 200 | $8,000 | thousands by filing date | call |
| JAMBA INC | 47023A309 | COM NEW | 918 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 250 | $8,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 3,832 | $8,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 1,900 | $8,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $8,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 379 | $8,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CA3 | CNV | 8,000 | $8,000 | thousands by filing date | principal |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 700 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 110 | $8,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 747 | $8,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 700 | $8,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 335 | $8,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 2,500 | $8,000 | thousands by filing date | put |
| ECLIPSE RES CORP | 27890G100 | COM | 2,865 | $8,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 8,000 | $8,000 | thousands by filing date | principal |
| AXAR ACQUISITION CORP | 05455L110 | *W EXP 12/31/202 | 109,207 | $8,000 | thousands by filing date | call |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 100 | $7,000 | thousands by filing date | |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 327 | $7,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 264 | $7,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 200 | $7,000 | thousands by filing date | put |
| CRITEO S A SPONS ADS | 226718104 | ADR | 140 | $7,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 12,231 | $7,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 1,000 | $7,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 67 | $7,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 373 | $7,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 1,600 | $7,000 | thousands by filing date | put |
| CHEFS WHSE INC | 163086101 | COM | 530 | $7,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 1,255 | $7,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 583 | $7,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 250 | $7,000 | thousands by filing date | put |
| CHEGG INC | 163092109 | COM | 826 | $7,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 175 | $7,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 523 | $7,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 365 | $7,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 216 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 222 | $7,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 188 | $7,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 965 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 100 | $7,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 450 | $7,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 400 | $7,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 2,752 | $7,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 700 | $7,000 | thousands by filing date | call |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 313 | $7,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 758 | $7,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 168 | $7,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 1,000 | $7,000 | thousands by filing date | put |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 2,331 | $7,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 1,730 | $7,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 300 | $7,000 | thousands by filing date | call |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 400 | $7,000 | thousands by filing date | call |
| GIGAMON INC | 37518B102 | COM | 200 | $7,000 | thousands by filing date | call |
| INVENTURE FOODS INC | 461212102 | COM | 1,608 | $7,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 6,000 | $7,000 | thousands by filing date | put |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 1,200 | $7,000 | thousands by filing date | put |
| ATHERSYS INC | 04744L106 | COM | 4,300 | $7,000 | thousands by filing date | call |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 4,292 | $7,000 | thousands by filing date | |
| BROOKFIELD CANADA OFFICE PRO | 112823109 | TR U | 307 | $7,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 65 | $7,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 250 | $7,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 526 | $7,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 407 | $7,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 1,200 | $7,000 | thousands by filing date | put |
| HARBORONE BANCORP INC | 41165F101 | COM | 385 | $7,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 1,584 | $7,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 1,936 | $7,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 320 | $7,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 1,447 | $7,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 734 | $7,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 26,069 | $7,000 | thousands by filing date | call |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 1,300 | $6,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 680 | $6,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 451 | $6,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 100 | $6,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 532 | $6,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 407 | $6,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 500 | $6,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 300 | $6,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 251 | $6,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 130 | $6,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 300 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 300 | $6,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 500 | $6,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 100 | $6,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 2,200 | $6,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 200 | $6,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 6,000 | $6,000 | thousands by filing date | principal |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 978 | $6,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 2,916 | $6,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 743 | $6,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 380 | $6,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 2,700 | $6,000 | thousands by filing date | call |
| TRONOX LTD | Q9235V101 | SHS CL A | 300 | $6,000 | thousands by filing date | put |
| NEW YORK & CO INC | 649295102 | COM | 3,000 | $6,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 1,934 | $6,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 470 | $6,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 351 | $6,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 205 | $6,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 250 | $6,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 150 | $6,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 7,600 | $6,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 95 | $6,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 2,284 | $6,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 248 | $6,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 437 | $6,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 2,350 | $6,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 4,747 | $6,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 639 | $6,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 1,700 | $6,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 20,600 | $6,000 | thousands by filing date | call |
| XACTLY CORP | 98386L101 | COM | 511 | $6,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 75 | $5,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 100 | $5,000 | thousands by filing date | put |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 584 | $5,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 400 | $5,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 200 | $5,000 | thousands by filing date | put |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 500 | $5,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 250 | $5,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 666 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 251 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 111 | $5,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 153 | $5,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 100 | $5,000 | thousands by filing date | put |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 100 | $5,000 | thousands by filing date | call |
| ROYCE VALUE TRUST | 780910105 | COM | 386 | $5,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 935 | $5,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 46 | $5,000 | thousands by filing date | |
| IRHYTHM HOLDINGS INC COM | 450056106 | Stock | 121 | $5,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 900 | $5,000 | thousands by filing date | put |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 111 | $5,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 100 | $5,000 | thousands by filing date | put |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 470 | $5,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 322 | $5,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 693 | $5,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 83 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 294 | $5,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 565 | $5,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 100 | $5,000 | thousands by filing date | put |
| BEACON ROOFING SUPPLY INC | 073685109 | COM | 100 | $5,000 | thousands by filing date | call |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 100 | $5,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 271 | $5,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 202 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 100 | $5,000 | thousands by filing date | |
| BANK OF THE OZARKS | 063904106 | COM | 100 | $5,000 | thousands by filing date | put |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 839 | $5,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 194 | $5,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 1,036 | $5,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 8,100 | $5,000 | thousands by filing date | call |
| AGENUS INC | 00847G705 | COM NEW | 1,200 | $5,000 | thousands by filing date | put |
| Lee Enterprises Inc | 523768109 | COM | 1,800 | $5,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 296 | $5,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 239 | $5,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 1,000 | $5,000 | thousands by filing date | call |
| DERMIRA INC | 24983L104 | COM | 154 | $5,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 3,001 | $5,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 658 | $5,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 5,700 | $5,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 5,200 | $5,000 | thousands by filing date | put |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 900 | $5,000 | thousands by filing date | call |
| SONIC CORP | 835451105 | COM | 200 | $5,000 | thousands by filing date | put |
| KEYW HLDG CORP | 493723100 | COM | 556 | $5,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 2,030 | $5,000 | thousands by filing date | |
| 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 | |
| MCDERMOTT INTL INC | 580037109 | COM | 700 | $5,000 | thousands by filing date | put |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 631 | $5,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 350 | $5,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 342 | $5,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 3,161 | $5,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 600 | $5,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 530 | $5,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 290 | $5,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 218 | $5,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 1,067 | $5,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 1,619 | $5,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 4,327 | $5,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 175 | $5,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED NEW | Y27265308 | SHS NEW | 1,065 | $5,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 1,054 | $5,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 1,105 | $5,000 | thousands by filing date | |
| BulletShares 2024 Corporate | 18383M233 | COM | 250 | $5,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 1,400 | $5,000 | thousands by filing date | call |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 647 | $5,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605124 | SHS | 1,586 | $5,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 349 | $5,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 1,300 | $4,000 | thousands by filing date | call |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 151 | $4,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 349 | $4,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 1,541 | $4,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 85 | $4,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 2,100 | $4,000 | thousands by filing date | call |
| BLUE BIRD CORP | 095306106 | COM | 249 | $4,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 44 | $4,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 177 | $4,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 127 | $4,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 187 | $4,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 100 | $4,000 | thousands by filing date | put |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 88 | $4,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 1,097 | $4,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 100 | $4,000 | thousands by filing date | put |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 60 | $4,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 200 | $4,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 140 | $4,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 4,600 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 70 | $4,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 737 | $4,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 215 | $4,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 58 | $4,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 132 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 135 | $4,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 500 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 80 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 100 | $4,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 219 | $4,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 1,000 | $4,000 | thousands by filing date | put |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 2,500 | $4,000 | thousands by filing date | put |
| AH BELO CORP | 001282102 | COMMON STOCK | 572 | $4,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 750 | $4,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 2,070 | $4,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 1,465 | $4,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 532 | $4,000 | thousands by filing date | |
| ISHARES DOW JONES UBS ROLL S | 45032K102 | SHS BEN INT | 120 | $4,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 312 | $4,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 1,000 | $4,000 | thousands by filing date | put |
| SEACHANGE INTL INC | 811699107 | COM | 1,520 | $4,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 1,043 | $4,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 10,376 | $4,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 167 | $4,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 300 | $4,000 | thousands by filing date | call |
| ROSETTA STONE INC | 777780107 | COM | 462 | $4,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 200 | $4,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 323 | $4,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 214 | $4,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 1,615 | $4,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 267 | $4,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 191 | $4,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 115 | $4,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 117 | $4,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 200 | $4,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 150 | $4,000 | thousands by filing date | |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 3,000 | $4,000 | thousands by filing date | principal |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 300 | $4,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 376 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K554 | DAILY JR GOLD MI | 600 | $4,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 1,594 | $4,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 1,000 | $4,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 98 | $4,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 260 | $4,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 179 | $4,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 1,747 | $4,000 | thousands by filing date | |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 100 | $4,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 336 | $4,000 | thousands by filing date | |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 75 | $3,000 | thousands by filing date | put |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 700 | $3,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 2,000 | $3,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 280 | $3,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 600 | $3,000 | thousands by filing date | call |
| SKYWEST INC COM | 830879102 | Stock | 100 | $3,000 | thousands by filing date | put |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 100 | $3,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 209 | $3,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 200 | $3,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 95 | $3,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P607 | NUVEEN ESG SMLCP | 100 | $3,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 100 | $3,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 100 | $3,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 50 | $3,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 200 | $3,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 146 | $3,000 | thousands by filing date | |
| BLACKLINE, INC. | 09239B109 | COM | 127 | $3,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 79 | $3,000 | thousands by filing date | |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 101 | $3,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 52 | $3,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 322 | $3,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 100 | $3,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 343 | $3,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 719 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 100 | $3,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 100 | $3,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 100 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 55 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 89 | $3,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 84 | $3,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 100 | $3,000 | thousands by filing date | call |
| REV Group Inc | 749527107 | Common Stock | 110 | $3,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 157 | $3,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 2,000 | $3,000 | thousands by filing date | |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 170 | $3,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 200 | $3,000 | thousands by filing date | call |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 806 | $3,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 349 | $3,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 2,000 | $3,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 725 | $3,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 183 | $3,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 268 | $3,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 220 | $3,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 700 | $3,000 | thousands by filing date | put |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 798 | $3,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 504 | $3,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 717 | $3,000 | thousands by filing date | |
| NEUSTAR INC | 64126X201 | CL A | 100 | $3,000 | thousands by filing date | put |
| PRIMERO MNG CORP | 74164W106 | COM | 6,479 | $3,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 3,625 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 200 | $3,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 458 | $3,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 877 | $3,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 353 | $3,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 100 | $3,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 174 | $3,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 153 | $3,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 240 | $3,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 700 | $3,000 | thousands by filing date | put |
| PROSHARES TR II | 74347W239 | ULTRA VIX ETF | 166 | $3,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 170 | $3,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 4,730 | $3,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 746 | $3,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 125 | $3,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 810 | $3,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 517 | $3,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 1,765 | $3,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 5,136 | $3,000 | thousands by filing date | |
| PROSHARES VIX SHORT-TERM FUTURES ETF | 74347W262 | ETF | 220 | $3,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 1,031 | $3,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 909 | $3,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 10,000 | $3,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 98 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 18 | $2,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 144 | $2,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 100 | $2,000 | thousands by filing date | put |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 100 | $2,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 136 | $2,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 81 | $2,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 100 | $2,000 | thousands by filing date | put |
| IES HOLDINGS INC | 44951W106 | COM | 100 | $2,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 823 | $2,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 171 | $2,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 200 | $2,000 | thousands by filing date | put |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 310 | $2,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 112 | $2,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 100 | $2,000 | thousands by filing date | put |
| VISTA OUTDOOR INC | 928377100 | COM | 100 | $2,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 100 | $2,000 | thousands by filing date | call |
| VERITEX HLDGS INC | 923451108 | COM | 75 | $2,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 81 | $2,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 100 | $2,000 | thousands by filing date | put |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 90 | $2,000 | 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 |