13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-13, with 7,374 holding rows worth $122,176,561,000.
- Accession
- 0000831001-17-000172
- Filer
- CIK 831001
- Filed
- 2017-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 15,506 entries on the cover page, a total value of $122,176,561,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $122,176,561,000 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 |
|---|---|---|---|---|---|---|
| SLR INVESTMENT CORP | 83413U100 | COM | 2,268 | $50,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430206 | ACTIVEBETA EME | 1,500 | $50,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 14,700 | $50,000 | thousands by filing date | call |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 7,091 | $50,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 2,500 | $50,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 2,739 | $49,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 2,026 | $49,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 6,200 | $49,000 | thousands by filing date | call |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 872 | $49,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 1,136 | $49,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 4,460 | $49,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 3,100 | $48,000 | thousands by filing date | put |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 2,500 | $48,000 | thousands by filing date | put |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 3,800 | $48,000 | thousands by filing date | put |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 398 | $48,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 1,608 | $48,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 5,800 | $48,000 | thousands by filing date | call |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 2,312 | $48,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 4,005 | $48,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 2,046 | $48,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 10,600 | $48,000 | thousands by filing date | call |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 598 | $48,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 27,200 | $48,000 | thousands by filing date | put |
| COUNTY BANCORP INC | 221907108 | COM | 1,614 | $48,000 | thousands by filing date | |
| FLOOR & DECOR HLDGS INC CL A | 339750101 | Stock | 1,223 | $47,000 | thousands by filing date | |
| THE COOPER COMPANIES | 216648402 | COM NEW | 200 | $47,000 | thousands by filing date | put |
| QUIDEL CORP | 74838J101 | COM | 1,070 | $47,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 2,082 | $47,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 13,064 | $47,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 1,859 | $47,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 5,408 | $47,000 | thousands by filing date | put |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 13,500 | $46,000 | thousands by filing date | put |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 1,500 | $46,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 2,424 | $46,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 995 | $46,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 3,121 | $46,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 14,900 | $45,000 | thousands by filing date | call |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 3,052 | $45,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 2,699 | $45,000 | thousands by filing date | |
| CSRA INC | 12650T104 | COM | 1,400 | $45,000 | thousands by filing date | call |
| Delta Apparel Inc | 247368103 | COM | 2,105 | $45,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 700 | $45,000 | thousands by filing date | call |
| TELIGENT INC NEW | 87960W104 | COM | 6,636 | $45,000 | thousands by filing date | |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 2,500 | $44,000 | thousands by filing date | put |
| CSW INDUSTRIALS INC | 126402106 | COM | 1,001 | $44,000 | thousands by filing date | |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 1,500 | $44,000 | thousands by filing date | put |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 3,136 | $44,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 48,502 | $44,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 2,381 | $44,000 | thousands by filing date | |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 2,446 | $44,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 9,900 | $44,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 1,686 | $44,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 9,493 | $44,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 6,707 | $44,000 | thousands by filing date | |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 856 | $43,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 900 | $43,000 | thousands by filing date | put |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 2,920 | $43,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 3,400 | $43,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 5,100 | $43,000 | thousands by filing date | call |
| 3D PRINTING ETF | 00214Q500 | ETF | 1,667 | $43,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 894 | $43,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 4,099 | $43,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BULL 3X ETF | 25490K323 | ETF | 500 | $43,000 | thousands by filing date | call |
| GLOBALSTAR INC | 378973408 | COM | 26,200 | $43,000 | thousands by filing date | put |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,519 | $43,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 5,000 | $43,000 | thousands by filing date | |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 2,350 | $43,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 929 | $42,000 | thousands by filing date | |
| TRUSTMARK CORP | 898402102 | COM | 1,289 | $42,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 1,370 | $42,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 2,953 | $42,000 | thousands by filing date | |
| ISHARES TR | 46434V282 | U S EQUITY FACTR | 1,389 | $42,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 3,633 | $42,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 5,569 | $42,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 3,087 | $42,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 9,684 | $42,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 810 | $42,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 3,224 | $42,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 3,000 | $42,000 | thousands by filing date | call |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 985 | $42,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 10,100 | $42,000 | thousands by filing date | call |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 900 | $42,000 | thousands by filing date | call |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 1,650 | $42,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 7,343 | $42,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 9,626 | $42,000 | thousands by filing date | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 2,106 | $42,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BEAR 3X SHARES | 25490K745 | Common Stocks | 9,100 | $42,000 | thousands by filing date | call |
| SCORPIO BULKERS INC | Y7546A122 | COM | 6,000 | $42,000 | thousands by filing date | put |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 19,760 | $42,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 665 | $41,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 7,763 | $41,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 5,070 | $41,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 951 | $41,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 827 | $41,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 10,900 | $41,000 | thousands by filing date | call |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 3,400 | $41,000 | thousands by filing date | put |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 610 | $41,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 900 | $41,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 1,702 | $41,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 7,800 | $41,000 | thousands by filing date | call |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 4,912 | $41,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 7,500 | $41,000 | thousands by filing date | put |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 2,245 | $41,000 | thousands by filing date | |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 3,518 | $40,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 2,000 | $40,000 | thousands by filing date | call |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 1,400 | $40,000 | thousands by filing date | call |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 6,469 | $40,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 3,040 | $40,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 2,500 | $40,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L406 | FRANKLIN US LOW | 1,315 | $40,000 | thousands by filing date | |
| POLYONE CORP | 73179P106 | COM | 998 | $40,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 2,800 | $40,000 | thousands by filing date | put |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 2,719 | $40,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 2,189 | $40,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 7,375 | $40,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 3,000 | $40,000 | thousands by filing date | put |
| KEYW HLDG CORP | 493723AA8 | NOTE 2.500 7/1 | 43,000 | $40,000 | thousands by filing date | principal |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 358 | $39,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 600 | $39,000 | thousands by filing date | call |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 336 | $39,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 4,000 | $39,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 5,857 | $39,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 636 | $39,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 1,818 | $39,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 2,430 | $39,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 1,521 | $39,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 6,100 | $39,000 | thousands by filing date | put |
| VIVUS INC | 928551100 | COM | 39,100 | $39,000 | thousands by filing date | call |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 950 | $39,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 4,166 | $39,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 1,311 | $38,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 1,173 | $38,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 4,727 | $38,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 10,500 | $38,000 | thousands by filing date | put |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 12,274 | $38,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 4,000 | $38,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 695 | $38,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 4,800 | $38,000 | thousands by filing date | put |
| Zedge Inc | 98923T104 | COM | 19,866 | $38,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 1,500 | $38,000 | thousands by filing date | put |
| AMERICAN EQUITY INVT LIFE | 025676206 | COMMON STOCK | 1,321 | $38,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 9,168 | $38,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 1,500 | $38,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 19,400 | $38,000 | thousands by filing date | call |
| NETGEAR INC | 64111Q104 | COM | 773 | $37,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 1,750 | $37,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 3,500 | $37,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 711 | $37,000 | thousands by filing date | |
| DBX ETF TR | 233051820 | XTRACK MSCI ALL | 1,364 | $37,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 3,000 | $37,000 | thousands by filing date | put |
| TRIANGLE CAP CORP | 895848109 | COM | 2,580 | $37,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 21,100 | $37,000 | thousands by filing date | put |
| NOVAVAX INC | 670002104 | COMMON STOCK | 32,700 | $37,000 | thousands by filing date | put |
| NOVAVAX INC | 670002104 | COMMON STOCK | 32,300 | $37,000 | thousands by filing date | call |
| SP PLUS CORP | 78469C103 | COM | 932 | $37,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 2,218 | $37,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 7,300 | $37,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 16,500 | $36,000 | thousands by filing date | put |
| GRAHAM CORP | 384556106 | COM | 1,744 | $36,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 6,025 | $36,000 | thousands by filing date | |
| MINDBODY INC | 60255W105 | COM CL A | 1,402 | $36,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 2,397 | $36,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 2,599 | $36,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 1,421 | $36,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 14,236 | $36,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 1,171 | $36,000 | thousands by filing date | |
| UNITED BANKSHARES INC WEST VA COM | 909907107 | Stock | 920 | $35,000 | thousands by filing date | |
| PENUMBRA INC COM | 70975L107 | Stock | 391 | $35,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 615 | $35,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 830 | $35,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 1,382 | $35,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 1,400 | $35,000 | thousands by filing date | put |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 2,800 | $35,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 1,417 | $35,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 6,000 | $35,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 3,631 | $35,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 7,790 | $35,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 1,404 | $35,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 1,100 | $34,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 631 | $34,000 | thousands by filing date | |
| LIVANOVA PLC | G5509L101 | SHS | 495 | $34,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 2,207 | $34,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 2,827 | $34,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 2,419 | $34,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 6,600 | $34,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 3,950 | $34,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 1,692 | $34,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 1,525 | $34,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 2,740 | $34,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 6,300 | $34,000 | thousands by filing date | put |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 3,097 | $34,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 5,600 | $34,000 | thousands by filing date | put |
| SELECT COMFORT CORP | 81616X103 | COM | 1,100 | $34,000 | thousands by filing date | put |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 750 | $34,000 | thousands by filing date | |
| ISHARES TR | 46434VAA8 | IBONDS DEC18 ETF | 1,361 | $34,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 1,090 | $33,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 300 | $33,000 | thousands by filing date | call |
| GRANITE PT MTG TR INC | 38741L107 | COM STK | 1,772 | $33,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 4,265 | $33,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 879 | $33,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 1,400 | $33,000 | thousands by filing date | call |
| IDT CORP | 448947507 | CL B NEW | 2,335 | $33,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 862 | $33,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 1,312 | $33,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 2,700 | $33,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 16,300 | $33,000 | thousands by filing date | call |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 1,746 | $33,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 796 | $33,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 2,449 | $33,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 8,200 | $33,000 | thousands by filing date | put |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 2,800 | $33,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 2,538 | $33,000 | thousands by filing date | |
| COTIVITI HLDGS INC | 22164K101 | COM | 923 | $33,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 5,053 | $32,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 8,300 | $32,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 3,305 | $32,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 1,157 | $32,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 1,285 | $32,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 1,359 | $32,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 850 | $32,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 1,040 | $32,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 1,700 | $32,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 736 | $32,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 25,000 | $32,000 | thousands by filing date | principal |
| NEVSUN RES LTD | 64156L101 | COM | 14,759 | $32,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 938 | $32,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 4,500 | $32,000 | thousands by filing date | call |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 2,320 | $32,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 11,200 | $32,000 | thousands by filing date | call |
| ASCENT CAP GROUP INC | 043632AA6 | NOTE 4.000 7/1 | 41,000 | $32,000 | thousands by filing date | principal |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 323 | $31,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 1,000 | $31,000 | thousands by filing date | put |
| SKYWEST INC COM | 830879102 | Stock | 700 | $31,000 | thousands by filing date | call |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,676 | $31,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 666 | $31,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 895 | $31,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 3,270 | $31,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 954 | $31,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 406 | $31,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 1,280 | $31,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 8,343 | $31,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 1,850 | $31,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 956 | $31,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 2,300 | $31,000 | thousands by filing date | put |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 2,010 | $31,000 | thousands by filing date | |
| ENVISION HEALTHCARE CORP | 29414D100 | COM | 666 | $31,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 2,100 | $31,000 | thousands by filing date | call |
| MCDERMOTT INTL INC | 580037109 | COM | 4,300 | $31,000 | thousands by filing date | put |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 700 | $31,000 | thousands by filing date | call |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 3,055 | $31,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 508 | $30,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 222 | $30,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 458 | $30,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 2,494 | $30,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 2,255 | $30,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 1,312 | $30,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 10,100 | $30,000 | thousands by filing date | put |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 10,000 | $30,000 | thousands by filing date | call |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 2,170 | $30,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 700 | $30,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 1,783 | $30,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 1,300 | $30,000 | thousands by filing date | put |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 3,600 | $30,000 | thousands by filing date | call |
| NUVEEN NY | 670706100 | COM | 2,045 | $30,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 580 | $29,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 230 | $29,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 4,300 | $29,000 | thousands by filing date | call |
| ISHARES TR | 464287812 | US CONSM STAPLES | 242 | $29,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 1,380 | $29,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 2,200 | $29,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 438 | $29,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 698 | $29,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 2,010 | $29,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 1,273 | $29,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 232 | $29,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 1,000 | $29,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 1,647 | $29,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 1,845 | $29,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 2,000 | $29,000 | thousands by filing date | call |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 8,819 | $29,000 | thousands by filing date | |
| Direxion Daily Small Cap Bear | 25490k521 | COM | 2,100 | $29,000 | thousands by filing date | put |
| MODEL N INC | 607525102 | COM | 1,916 | $29,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 2,668 | $29,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 460 | $29,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 7,000 | $29,000 | thousands by filing date | put |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 800 | $29,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 39,000 | $29,000 | thousands by filing date | principal |
| SMART & FINAL STORES INC | 83190B101 | COM | 3,745 | $29,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 2,802 | $29,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 669 | $28,000 | thousands by filing date | |
| TECHNIPFMC PLC COM | G87110105 | Stock | 1,000 | $28,000 | thousands by filing date | put |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 1,407 | $28,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 2,000 | $28,000 | thousands by filing date | |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 501 | $28,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 1,019 | $28,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 240 | $28,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 1,600 | $28,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 1,200 | $28,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 1,558 | $28,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 2,693 | $28,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 17,006 | $28,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 3,921 | $28,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 716 | $28,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 1,257 | $28,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 991 | $28,000 | thousands by filing date | |
| GARDNER DENVER HLDGS INC | 36555P107 | COM | 1,031 | $28,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 2,559 | $28,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 700 | $27,000 | thousands by filing date | put |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 938 | $27,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 1,174 | $27,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 3,244 | $27,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 6 | $27,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 1,800 | $27,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 2,256 | $27,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 793 | $27,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 1,600 | $27,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 11,000 | $27,000 | thousands by filing date | put |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 2,030 | $27,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 786 | $27,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 400 | $27,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 1,000 | $27,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 1,800 | $27,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 1,100 | $27,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R878 | DORSEY WRIGHT | 1,100 | $27,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 1,870 | $27,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 7,700 | $27,000 | thousands by filing date | put |
| SYNACOR INC | 871561106 | COM | 9,872 | $27,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 1,516 | $27,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 23,063 | $27,000 | thousands by filing date | |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 3,000 | $27,000 | thousands by filing date | principal |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 4,200 | $26,000 | thousands by filing date | call |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 400 | $26,000 | thousands by filing date | put |
| TRIMAS CORP | 896215209 | COM NEW | 949 | $26,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 4,200 | $26,000 | thousands by filing date | call |
| SIERRA BANCORP | 82620P102 | COM | 959 | $26,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 1,832 | $26,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 277 | $26,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 6,150 | $26,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 4,290 | $26,000 | thousands by filing date | |
| SIGNATURE BANK | 82669G104 | COM | 200 | $26,000 | thousands by filing date | put |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 1,003 | $26,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 2,000 | $26,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 1,098 | $26,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 1,051 | $26,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 1,033 | $26,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 2,154 | $26,000 | thousands by filing date | |
| SCRIPPS NETWORKS INTERACT IN | 811065101 | CL A COM | 300 | $26,000 | thousands by filing date | call |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 635 | $26,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 7,300 | $26,000 | thousands by filing date | put |
| BRISTOW GROUP INC | 110394103 | COM | 2,800 | $26,000 | thousands by filing date | put |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 947 | $26,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 721 | $26,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 1,571 | $26,000 | thousands by filing date | |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 526 | $25,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 1,614 | $25,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 3,112 | $25,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 1,468 | $25,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 1,803 | $25,000 | thousands by filing date | |
| IRHYTHM HOLDINGS INC COM | 450056106 | Stock | 472 | $25,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 366 | $25,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 922 | $25,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 378 | $25,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 2,757 | $25,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 5,926 | $25,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 1,000 | $25,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 3,509 | $25,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 8,200 | $25,000 | thousands by filing date | put |
| ARCH COAL INC | 039380407 | COMMON STOCK | 356 | $25,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 2,412 | $25,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 953 | $25,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 300 | $25,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 4,100 | $25,000 | thousands by filing date | call |
| iShares Global REIT ETF | 46434V647 | SHS | 950 | $24,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 335 | $24,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 212 | $24,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 500 | $24,000 | thousands by filing date | call |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 1,800 | $24,000 | thousands by filing date | call |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 500 | $24,000 | thousands by filing date | put |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 1,059 | $24,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 767 | $24,000 | thousands by filing date | |
| COLONY NORTHSTAR INC | 19625W104 | CL A COM | 1,917 | $24,000 | thousands by filing date | put |
| ESSA BANCORP INC COM | 29667D104 | Stock | 1,519 | $24,000 | thousands by filing date | |
| CIENA CORP | 171779AK7 | DEBT 4.000%12/1 | 18,000 | $24,000 | thousands by filing date | principal |
| SHUTTERFLY INC | 82568P304 | COM | 500 | $24,000 | thousands by filing date | put |
| DEPOMED INC | 249908104 | COM | 4,100 | $24,000 | thousands by filing date | put |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 7,756 | $24,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 10,561 | $24,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 5,175 | $24,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 16,600 | $24,000 | thousands by filing date | call |
| PROVIDENT BANCORP INC | 74383X109 | COM | 1,039 | $24,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 340 | $23,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 600 | $23,000 | thousands by filing date | call |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 1,433 | $23,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 1,742 | $23,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 1,600 | $23,000 | thousands by filing date | call |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,715 | $23,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 486 | $23,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 354 | $23,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,000 | $23,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 1,600 | $23,000 | thousands by filing date | call |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 15,082 | $23,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 700 | $23,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 900 | $23,000 | thousands by filing date | put |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 2,300 | $23,000 | thousands by filing date | put |
| ROCKWELL MED INC | 774374102 | COM | 2,700 | $23,000 | thousands by filing date | put |
| SCORPIO BULKERS INC | Y7546A122 | COM | 3,251 | $23,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 912 | $22,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 700 | $22,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 2,070 | $22,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 391 | $22,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 2,140 | $22,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 4,690 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 325 | $22,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 2,100 | $22,000 | thousands by filing date | call |
| INFINERA CORP | 45667G103 | COMMON STOCK | 2,550 | $22,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 11,400 | $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 |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 15,089 | $22,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 402 | $21,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 508 | $21,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 5,300 | $21,000 | thousands by filing date | call |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 1,300 | $21,000 | thousands by filing date | call |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 223 | $21,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 500 | $21,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 3,119 | $21,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 4,750 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 700 | $21,000 | thousands by filing date | |
| MATADOR RES CO COM | 576485205 | Stock | 728 | $20,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 464 | $20,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 1,439 | $20,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 1,119 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 750 | $20,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 265 | $20,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 405 | $20,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 238 | $20,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 488 | $20,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 1,311 | $20,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 1,200 | $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 | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 2,500 | $20,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 8,033 | $20,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 2,616 | $20,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 600 | $20,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 2,500 | $20,000 | thousands by filing date | put |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 438 | $20,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $20,000 | thousands by filing date | principal |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 320 | $20,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 3,147 | $20,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 350 | $20,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 1,400 | $20,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 4,500 | $20,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 3,000 | $19,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 651 | $19,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 600 | $19,000 | thousands by filing date | put |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,050 | $19,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 1,500 | $19,000 | thousands by filing date | |
| OXFORD INDS INC | 691497309 | COM | 300 | $19,000 | thousands by filing date | call |
| ACNB CORP | 000868109 | COMMON STOCK | 695 | $19,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 1,000 | $19,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 1,748 | $19,000 | thousands by filing date | |
| SENSATA TECHNOLOGIES HOLDING | N7902X106 | COMMON STOCK-FO | 400 | $19,000 | thousands by filing date | put |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 5,100 | $19,000 | thousands by filing date | put |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 952 | $19,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 8,335 | $19,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 2,105 | $19,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 2,172 | $18,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 300 | $18,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 2,113 | $18,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 2,249 | $18,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 1,500 | $18,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 3,100 | $18,000 | thousands by filing date | put |
| LSB INDS INC | 502160104 | COM | 2,260 | $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 | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 723 | $18,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 2,314 | $18,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 5,000 | $18,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 5,000 | $18,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 4,950 | $18,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 4,088 | $18,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 936 | $18,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 3,314 | $18,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 1,140 | $18,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 18,000 | $18,000 | thousands by filing date | principal |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,000 | $18,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 3,255 | $18,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 2,543 | $18,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 1,619 | $18,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 3,253 | $18,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C203 | S&P MDCP 400 REV | 305 | $18,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158135 | RIGHT 10/04/2017 | 47,540 | $18,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 600 | $17,000 | thousands by filing date | put |
| SABRE CORP COM | 78573M104 | Stock | 947 | $17,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 500 | $17,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 800 | $17,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 1,403 | $17,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 400 | $17,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 1,000 | $17,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-17-000172 | this filing | 2017-11-13 | acceptance time not in the bulk data set |