13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2017-06-30, filed 2017-08-11, with 7,436 holding rows worth $110,889,229,000.
- Accession
- 0000831001-17-000135
- Filer
- CIK 831001
- Filed
- 2017-08-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2017
A holdings report, 15,611 entries on the cover page, a total value of $110,889,229,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $110,889,229,000 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 managerIntentionally Omitted 028-04311
- 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 |
|---|---|---|---|---|---|---|
| CAREER EDUCATION CORP | 141665109 | COM | 3,800 | $36,000 | thousands by filing date | call |
| Pimco Income Oppty Fund | 72202B100 | COM | 1,338 | $36,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 2,590 | $36,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 9,819 | $36,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 3,000 | $36,000 | thousands by filing date | put |
| FIVE9 INC | 338307101 | COM | 1,625 | $35,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 700 | $35,000 | thousands by filing date | put |
| MAIN STR CAP CORP | 56035L104 | COM | 900 | $35,000 | thousands by filing date | put |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 4,000 | $35,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 758 | $35,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 1,422 | $35,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 2,000 | $35,000 | thousands by filing date | call |
| EXONE CO | 302104104 | COM | 3,100 | $35,000 | thousands by filing date | put |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 28,400 | $35,000 | thousands by filing date | put |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 2,673 | $35,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 35,000 | $35,000 | thousands by filing date | principal |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 850 | $34,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 4,800 | $34,000 | thousands by filing date | put |
| CRITEO S A SPONS ADS | 226718104 | ADR | 705 | $34,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 3,870 | $34,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 945 | $34,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 6,000 | $34,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 530 | $34,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 1,118 | $34,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 1,126 | $34,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 8,286 | $34,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 364 | $34,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 2,134 | $34,000 | thousands by filing date | |
| ISHARES TR | 46434VAA8 | IBONDS DEC18 ETF | 1,361 | $34,000 | thousands by filing date | |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 3,518 | $33,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 800 | $33,000 | thousands by filing date | call |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 1,770 | $33,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 1,631 | $33,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 631 | $33,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 1,689 | $33,000 | thousands by filing date | |
| MINDBODY INC | 60255W105 | COM CL A | 1,229 | $33,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 1,359 | $33,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 10,100 | $33,000 | thousands by filing date | put |
| NEVRO CORP | 64157F103 | COM | 446 | $33,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 8,200 | $33,000 | thousands by filing date | put |
| FERRO CORP | 315405100 | COM | 1,778 | $33,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 13,737 | $33,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 750 | $33,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 1,404 | $33,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 5,300 | $33,000 | thousands by filing date | call |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 2,800 | $33,000 | thousands by filing date | |
| BMC STK HLDGS INC | 05591B109 | COM | 1,501 | $33,000 | thousands by filing date | |
| GAFISA S A | 362607400 | UNSPONSORED ADR | 5,029 | $33,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 1,100 | $32,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 5,078 | $32,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 900 | $32,000 | thousands by filing date | put |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 5,280 | $32,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 4,500 | $32,000 | thousands by filing date | call |
| LIVANOVA PLC | G5509L101 | SHS | 529 | $32,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 1,168 | $32,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 2,878 | $32,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 1,034 | $32,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 2,500 | $32,000 | thousands by filing date | call |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 12,960 | $32,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 2,000 | $32,000 | thousands by filing date | put |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 559 | $32,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 5,000 | $32,000 | thousands by filing date | call |
| HEALTHSOUTH CORP | 421924309 | COM NEW | 670 | $32,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 1,026 | $32,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 12,000 | $32,000 | thousands by filing date | call |
| HOSTESS BRANDS INC | 44109J114 | WTS | 10,900 | $32,000 | thousands by filing date | call |
| DWS Mun Income Tr | 25160C106 | COM | 2,400 | $32,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 29,000 | $32,000 | thousands by filing date | principal |
| ASCENT CAP GROUP INC | 043632AA6 | NOTE 4.000 7/1 | 41,000 | $32,000 | thousands by filing date | principal |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 3,143 | $31,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 1,444 | $31,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 666 | $31,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 12,400 | $31,000 | thousands by filing date | call |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 3,270 | $31,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 2,437 | $31,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 1,505 | $31,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 3,637 | $31,000 | thousands by filing date | |
| ARRIS INTL INC SHS | G0551A103 | SHS | 1,100 | $31,000 | thousands by filing date | call |
| SPARK ENERGY INC | 846511103 | CL A COM | 1,637 | $31,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 634 | $31,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 1,200 | $31,000 | thousands by filing date | put |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 31,000 | $31,000 | thousands by filing date | principal |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 2,354 | $31,000 | thousands by filing date | |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 1,520 | $30,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 1,454 | $30,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 700 | $30,000 | thousands by filing date | call |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 1,044 | $30,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 1,157 | $30,000 | thousands by filing date | |
| SENSATA TECHNOLOGIES HOLDING | N7902X106 | COMMON STOCK-FO | 700 | $30,000 | thousands by filing date | put |
| BRIGHTCOVE INC | 10921T101 | COM | 4,909 | $30,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 300 | $30,000 | thousands by filing date | put |
| SUN HYDRAULICS CORP | 866942105 | COM | 697 | $30,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 1,500 | $30,000 | thousands by filing date | put |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 3,200 | $30,000 | thousands by filing date | put |
| EMC INS GROUP INC | 268664109 | COM | 1,058 | $30,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 2,025 | $30,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 1,378 | $30,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 1,300 | $30,000 | thousands by filing date | call |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 1,500 | $30,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 8,279 | $29,000 | thousands by filing date | |
| ROBERT HALF INC. COM | 770323103 | Stock | 600 | $29,000 | thousands by filing date | put |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 258 | $29,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 2,010 | $29,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 3,500 | $29,000 | thousands by filing date | call |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 1,278 | $29,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 11,500 | $29,000 | thousands by filing date | call |
| DASEKE INC | 23753F107 | COM | 2,631 | $29,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 2,082 | $29,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 1,800 | $29,000 | thousands by filing date | call |
| MCEWEN MNG INC | 58039P107 | COM | 11,200 | $29,000 | thousands by filing date | put |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 27,000 | $29,000 | thousands by filing date | principal |
| VIVUS INC | 928551100 | COM | 24,000 | $29,000 | thousands by filing date | put |
| CLIFTON BANCORP INC | 186873105 | COM | 1,725 | $29,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 29,000 | $29,000 | thousands by filing date | principal |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 600 | $28,000 | thousands by filing date | put |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 580 | $28,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 232 | $28,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657101 | COM | 600 | $28,000 | thousands by filing date | put |
| TELADOC HEALTH INC | 87918A105 | COM | 820 | $28,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 1,887 | $28,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 2,242 | $28,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 438 | $28,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 2,400 | $28,000 | thousands by filing date | call |
| AEGON N V | 007924103 | NY REGISTRY SHS | 5,683 | $28,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 1,324 | $28,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 500 | $28,000 | thousands by filing date | call |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 500 | $28,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 1,424 | $28,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 3,700 | $28,000 | thousands by filing date | call |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 8,150 | $28,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 938 | $28,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 5,500 | $28,000 | thousands by filing date | put |
| COVISINT CORP | 22357R103 | COM | 11,325 | $28,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 28,000 | $28,000 | thousands by filing date | principal |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 230 | $27,000 | thousands by filing date | |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 501 | $27,000 | thousands by filing date | |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 453 | $27,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 6,160 | $27,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 240 | $27,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 2,021 | $27,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 796 | $27,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 426 | $27,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 1,000 | $27,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 700 | $27,000 | thousands by filing date | |
| COLONY NORTHSTAR INC | 19625W104 | CL A COM | 1,917 | $27,000 | thousands by filing date | put |
| MB FINANCIAL INC | 55264U108 | COMMON STOCK | 602 | $27,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 10,000 | $27,000 | thousands by filing date | principal |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 894 | $27,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 1,516 | $27,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 7,800 | $27,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 1,030 | $26,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 900 | $26,000 | thousands by filing date | call |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 188 | $26,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 1,832 | $26,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,550 | $26,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 2,098 | $26,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 1,000 | $26,000 | thousands by filing date | |
| STERLING BANCORP DEL | 85917A100 | COM | 1,121 | $26,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 25,000 | $26,000 | thousands by filing date | principal |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 300 | $26,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 1,914 | $26,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 4,200 | $26,000 | thousands by filing date | put |
| FTD COS INC | 30281V108 | COM | 1,266 | $26,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 2,000 | $26,000 | thousands by filing date | call |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 3,055 | $26,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 6,108 | $25,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 673 | $25,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 1,000 | $25,000 | thousands by filing date | call |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 2,075 | $25,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 471 | $25,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 1,688 | $25,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 477 | $25,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 400 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 1,100 | $25,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 4,904 | $25,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 3,509 | $25,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R878 | DORSEY WRIGHT | 1,100 | $25,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 2,834 | $25,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 10,000 | $25,000 | thousands by filing date | put |
| TRITON INTL LTD | G9078F107 | CL A | 748 | $25,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256B101 | COM | 1,543 | $25,000 | thousands by filing date | |
| ADVISORY BOARD CO/THE | 00762W107 | Domestic Common | 477 | $25,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 940 | $25,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 19,900 | $25,000 | thousands by filing date | call |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 2,000 | $25,000 | thousands by filing date | put |
| iShares Global REIT ETF | 46434V647 | SHS | 950 | $24,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 6,800 | $24,000 | thousands by filing date | put |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 4,300 | $24,000 | thousands by filing date | put |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 16,680 | $24,000 | thousands by filing date | call |
| SENSIENT TECHNOLOGIES CORP | 81725T100 | COM | 302 | $24,000 | thousands by filing date | |
| MOHAWK INDS INC | 608190104 | COM | 100 | $24,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 465 | $24,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 1,910 | $24,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 1,799 | $24,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 598 | $24,000 | thousands by filing date | |
| UBIQUITI NETWORKS INC | 90347A100 | COM | 457 | $24,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 769 | $24,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 2,511 | $24,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 1,197 | $24,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 4,750 | $24,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 212 | $23,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 2,800 | $23,000 | thousands by filing date | put |
| GENERAC HLDGS INC | 368736104 | COM | 625 | $23,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 766 | $23,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 1,433 | $23,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 500 | $23,000 | thousands by filing date | put |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 1,409 | $23,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,551 | $23,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 1,049 | $23,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 5,450 | $23,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 5,759 | $23,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 15,082 | $23,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 1,822 | $23,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 700 | $23,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 6,688 | $23,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 2,094 | $23,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 8,335 | $23,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 24,000 | $23,000 | thousands by filing date | principal |
| CELLECT BIOTECHNOLOGY LTD | 15116C102 | SPON ADS | 2,800 | $23,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 2,642 | $23,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 7,800 | $23,000 | thousands by filing date | put |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 4,167 | $22,000 | thousands by filing date | |
| BRINKER INTL INC COM | 109641100 | Stock | 572 | $22,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 1,223 | $22,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 600 | $22,000 | thousands by filing date | put |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 700 | $22,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 405 | $22,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 500 | $22,000 | thousands by filing date | put |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 1,676 | $22,000 | thousands by filing date | |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 1,100 | $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 | 2,054 | $22,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 1,500 | $22,000 | thousands by filing date | put |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 5,000 | $22,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 806 | $22,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,000 | $22,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 1,000 | $22,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 5,200 | $22,000 | thousands by filing date | call |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 18,000 | $22,000 | thousands by filing date | call |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 6,400 | $22,000 | thousands by filing date | put |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 1,660 | $22,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 28,000 | $22,000 | thousands by filing date | principal |
| NEURODERM LTD | M74231107 | ORD SHS | 719 | $22,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 23,200 | $22,000 | thousands by filing date | call |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 3,000 | $22,000 | thousands by filing date | principal |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 400 | $21,000 | thousands by filing date | call |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 1,281 | $21,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 2,140 | $21,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 567 | $21,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 1,300 | $21,000 | thousands by filing date | put |
| YORK WATER CO | 987184108 | COMMON STOCK | 607 | $21,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 354 | $21,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 13,500 | $21,000 | thousands by filing date | call |
| WILDHORSE RESOURCE DEV CORP | 96812T102 | COM | 1,754 | $21,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 21,000 | $21,000 | thousands by filing date | principal |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 2,800 | $21,000 | thousands by filing date | call |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 4,500 | $21,000 | thousands by filing date | call |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 80,000 | $21,000 | thousands by filing date | principal |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 800 | $21,000 | thousands by filing date | |
| COTIVITI HLDGS INC | 22164K101 | COM | 576 | $21,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 207 | $20,000 | thousands by filing date | |
| NOVANTA INC | 67000B104 | COM | 547 | $20,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 387 | $20,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 2,182 | $20,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 3,770 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 251 | $20,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 8,166 | $20,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 1,200 | $20,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 800 | $20,000 | thousands by filing date | |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 1,264 | $20,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 2,985 | $20,000 | thousands by filing date | |
| SCRIPPS NETWORKS INTERACT IN | 811065101 | CL A COM | 300 | $20,000 | thousands by filing date | put |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 31,682 | $20,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 2,800 | $20,000 | thousands by filing date | put |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 1,000 | $20,000 | thousands by filing date | call |
| STATE BANK FINL CORP COM | 856190103 | COM | 738 | $20,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 3,938 | $20,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AA7 | NOTE 2.125% 6/0 | 14,000 | $20,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 700 | $20,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 450 | $19,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 508 | $19,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 13,595 | $19,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 13,500 | $19,000 | thousands by filing date | put |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 332 | $19,000 | thousands by filing date | |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 495 | $19,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 1,290 | $19,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 1,311 | $19,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 1,200 | $19,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 335 | $19,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 341 | $19,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 1,000 | $19,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 827 | $19,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 1,184 | $19,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 500 | $19,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 5,926 | $19,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 2,500 | $19,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 3,086 | $19,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 2,000 | $19,000 | thousands by filing date | put |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 1,630 | $19,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 9,737 | $19,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 800 | $19,000 | thousands by filing date | call |
| FRED S INC CLASS A | 356108100 | COM | 2,046 | $19,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X558 | S&P RUSSIA ETF | 1,020 | $19,000 | thousands by filing date | |
| GARDNER DENVER HLDGS INC | 36555P107 | COM | 862 | $19,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 2,105 | $19,000 | thousands by filing date | |
| GLOBAL PMTS INC | 37940X102 | COM | 200 | $18,000 | thousands by filing date | put |
| COHEN & STEERS INC COM | 19247A100 | Stock | 458 | $18,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 695 | $18,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 300 | $18,000 | thousands by filing date | put |
| WIX COM LTD SHS | M98068105 | Stock | 248 | $18,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 1,600 | $18,000 | thousands by filing date | put |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 3,000 | $18,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 2,896 | $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 | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 414 | $18,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 300 | $18,000 | thousands by filing date | |
| UMB FINL CORP | 902788108 | COM | 240 | $18,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 651 | $18,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 728 | $18,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 1,345 | $18,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 1,384 | $18,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 5,000 | $18,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 1,000 | $18,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 3,670 | $18,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 6,528 | $18,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 1,500 | $18,000 | thousands by filing date | put |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 1,000 | $18,000 | thousands by filing date | put |
| KNIGHT TRANSN INC | 499064103 | COM | 482 | $18,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 6,662 | $18,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 3,300 | $18,000 | thousands by filing date | |
| SELECT COMFORT CORP | 81616X103 | COM | 500 | $18,000 | thousands by filing date | put |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 10,629 | $18,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,085 | $18,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 11,700 | $18,000 | thousands by filing date | put |
| OPHTHOTECH CORP | 683745103 | COM | 7,200 | $18,000 | thousands by filing date | call |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 650 | $18,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 1,712 | $18,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 1,000 | $17,000 | thousands by filing date | call |
| OMNICOM GROUP INC COM | 681919106 | Stock | 200 | $17,000 | thousands by filing date | put |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 2,113 | $17,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 800 | $17,000 | thousands by filing date | put |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 2,223 | $17,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 1,300 | $17,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W323 | CMN | 721 | $17,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,210 | $17,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 4,462 | $17,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 1,321 | $17,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 1,335 | $17,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 1,350 | $17,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $17,000 | thousands by filing date | principal |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 2,781 | $17,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 638 | $17,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 1,736 | $17,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 3,409 | $17,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 246 | $16,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 170 | $16,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 200 | $16,000 | thousands by filing date | call |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 248 | $16,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 1,012 | $16,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 2,300 | $16,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 1,242 | $16,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 137 | $16,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 800 | $16,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 1,200 | $16,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 1,405 | $16,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 2,500 | $16,000 | thousands by filing date | call |
| SWIFT TRANSPORTATION CO | 87074U101 | COM | 600 | $16,000 | thousands by filing date | call |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 5,700 | $16,000 | thousands by filing date | put |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 6,262 | $16,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 3,098 | $16,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 25,900 | $16,000 | thousands by filing date | call |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 570 | $16,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279501 | COM NEW | 6,010 | $16,000 | thousands by filing date | put |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 17,000 | $16,000 | thousands by filing date | principal |
| MATADOR RES CO COM | 576485205 | Stock | 679 | $15,000 | thousands by filing date | |
| ACADIA HEALTHCARE COMPANY INC COM | 00404A109 | Stock | 300 | $15,000 | thousands by filing date | put |
| KNOWLES CORP COM | 49926D109 | Stock | 867 | $15,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 1,500 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 288 | $15,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 3,700 | $15,000 | thousands by filing date | call |
| PAPA JOHNS INTL INC | 698813102 | COM | 205 | $15,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 897 | $15,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 1,950 | $15,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 1,150 | $15,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 602 | $15,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 1,521 | $15,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 3,700 | $15,000 | thousands by filing date | put |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 200 | $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 | 345 | $15,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 1,264 | $15,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 468 | $15,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 1,377 | $15,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 3,000 | $15,000 | thousands by filing date | call |
| ZOES KITCHEN INC | 98979J109 | COM | 1,300 | $15,000 | thousands by filing date | call |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 3,366 | $15,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 165 | $15,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 967 | $15,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 850 | $15,000 | thousands by filing date | |
| 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 | |
| PATTERN ENERGY GROUP INC | 70338PAB6 | NOTE 4.000% 7/1 | 14,000 | $15,000 | thousands by filing date | principal |
| INFINERA CORPORATION | 45667GAB9 | DBCV 1.750% 6/0 | 14,000 | $15,000 | thousands by filing date | principal |
| VIDEOCON D2H LTD | 92657J101 | ADR | 1,500 | $15,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 225 | $14,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 985 | $14,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 8,546 | $14,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 800 | $14,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 195 | $14,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 150 | $14,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 174 | $14,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 2,000 | $14,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 1,006 | $14,000 | thousands by filing date | |
| YEXT INC | 98585N106 | COM | 1,030 | $14,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 600 | $14,000 | thousands by filing date | put |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 376 | $14,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 3,500 | $14,000 | thousands by filing date | call |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 1,096 | $14,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 1,867 | $14,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 6,279 | $14,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 244 | $14,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 400 | $14,000 | thousands by filing date | call |
| CHIMERIX INC COM | 16934W106 | Stock | 2,556 | $14,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 497 | $14,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 1,208 | $14,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 500 | $14,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 6,100 | $14,000 | thousands by filing date | put |
| ENDOLOGIX INC | 29266S106 | COM | 2,918 | $14,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 1,000 | $14,000 | thousands by filing date | put |
| ANGIES LIST INC | 034754101 | COM | 1,069 | $14,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 502 | $14,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 3,602 | $14,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 1,000 | $14,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 1,101 | $14,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 990 | $14,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 8,000 | $14,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 500 | $13,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 331 | $13,000 | thousands by filing date | |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 448 | $13,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 500 | $13,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 1,884 | $13,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 1,395 | $13,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 1,000 | $13,000 | thousands by filing date | call |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 1,045 | $13,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 1,000 | $13,000 | thousands by filing date | put |
| SWIFT TRANSPORTATION CO | 87074U101 | COM | 500 | $13,000 | thousands by filing date | put |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 876 | $13,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 8,397 | $13,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 750 | $13,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 2,100 | $13,000 | thousands by filing date | put |
| FANG HOLDING-ADR | 30711Y102 | ADR | 3,500 | $13,000 | thousands by filing date | put |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 23,200 | $13,000 | thousands by filing date | call |
| HOULIHAN LOKEY INC CL A | 441593100 | Stock | 336 | $12,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 810 | $12,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 333 | $12,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 900 | $12,000 | thousands by filing date | put |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 230 | $12,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 175 | $12,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 1,062 | $12,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 185 | $12,000 | thousands by filing date | |
| AARONS INC | 002535300 | COM PAR $0.50 | 300 | $12,000 | thousands by filing date | put |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 825 | $12,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 3,020 | $12,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 465 | $12,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 1,000 | $12,000 | thousands by filing date | put |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 445 | $12,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 1,027 | $12,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 4,483 | $12,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 2,272 | $12,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 3,676 | $12,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 753 | $12,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 546 | $12,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 1,242 | $12,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 3,593 | $12,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 14,300 | $12,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 800 | $12,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 900 | $12,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 241 | $12,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 368 | $12,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 384 | $12,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 644 | $12,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 3,200 | $12,000 | thousands by filing date | call |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 9,000 | $12,000 | thousands by filing date | principal |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 129 | $11,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 1,211 | $11,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 3,687 | $11,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 300 | $11,000 | thousands by filing date | call |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 670 | $11,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 600 | $11,000 | thousands by filing date | put |
| VARONIS SYS INC | 922280102 | COM | 280 | $11,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 1,000 | $11,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 1,016 | $11,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 900 | $11,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 200 | $11,000 | thousands by filing date | put |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 181 | $11,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 407 | $11,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 1,563 | $11,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 3,000 | $11,000 | thousands by filing date | |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 429 | $11,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-17-000135 | this filing | 2017-08-11 | acceptance time not in the bulk data set |