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 |
|---|---|---|---|---|---|---|
| NORBORD INC | 65548P403 | COM NEW | 449 | $17,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 600 | $17,000 | thousands by filing date | call |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 1,513 | $17,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 5,500 | $17,000 | thousands by filing date | call |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 1,335 | $17,000 | thousands by filing date | |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 490 | $17,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 1,350 | $17,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 1,047 | $17,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 26,904 | $17,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 2,204 | $17,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 1,400 | $17,000 | thousands by filing date | call |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 2,400 | $17,000 | thousands by filing date | put |
| ATHERSYS INC | 04744L106 | COM | 8,300 | $17,000 | thousands by filing date | call |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 4,188 | $17,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 2,752 | $17,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 699 | $17,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 4,700 | $17,000 | thousands by filing date | call |
| OPHTHOTECH CORP | 683745103 | COM | 6,200 | $17,000 | thousands by filing date | call |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 1,500 | $17,000 | thousands by filing date | call |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 247 | $16,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 2,300 | $16,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 1,950 | $16,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 1,164 | $16,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 410 | $16,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 1,537 | $16,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 200 | $16,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 908 | $16,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 356 | $16,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 1,000 | $16,000 | thousands by filing date | put |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 1,000 | $16,000 | thousands by filing date | call |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 660 | $16,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 1,405 | $16,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 1,192 | $16,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 299 | $16,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 1,000 | $16,000 | thousands by filing date | call |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 615 | $16,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 2,000 | $16,000 | thousands by filing date | call |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 3,369 | $16,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 7,300 | $16,000 | thousands by filing date | call |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 223 | $16,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 570 | $16,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 650 | $16,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279501 | COM NEW | 12,000 | $16,000 | thousands by filing date | put |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 17,000 | $16,000 | thousands by filing date | principal |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 2,042 | $16,000 | thousands by filing date | |
| WABTEC COM | 929740108 | Stock | 200 | $15,000 | thousands by filing date | put |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 1,400 | $15,000 | thousands by filing date | put |
| ROGERS CORP COM | 775133101 | Stock | 118 | $15,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 610 | $15,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 881 | $15,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 1,500 | $15,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 250 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 288 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 150 | $15,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 1,723 | $15,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 829 | $15,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 400 | $15,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 450 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 204 | $15,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,210 | $15,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 278 | $15,000 | thousands by filing date | |
| SYNTEL INC | 87162H103 | COM | 774 | $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 | 989 | $15,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 870 | $15,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 2,700 | $15,000 | thousands by filing date | put |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 11,235 | $15,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 450 | $15,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M522 | GUG BULL2019 E | 700 | $15,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 12,667 | $15,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 1,123 | $15,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 808 | $15,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 1,000 | $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 |
| INGLES MKTS INC CL A | 457030104 | Stock | 574 | $14,000 | thousands by filing date | |
| ACADIA HEALTHCARE COMPANY INC COM | 00404A109 | Stock | 300 | $14,000 | thousands by filing date | put |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 3,187 | $14,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 200 | $14,000 | thousands by filing date | call |
| A10 NETWORKS INC | 002121101 | COM | 1,873 | $14,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 1,843 | $14,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 347 | $14,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 6,500 | $14,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 835 | $14,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 382 | $14,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 7,648 | $14,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 2,178 | $14,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 859 | $14,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 6,146 | $14,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 500 | $14,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 600 | $14,000 | thousands by filing date | put |
| 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 | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 2,303 | $14,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 11,700 | $14,000 | thousands by filing date | put |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 3,800 | $14,000 | thousands by filing date | put |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 1,214 | $14,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 3,447 | $14,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 1,000 | $14,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 500 | $13,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 200 | $13,000 | thousands by filing date | call |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 535 | $13,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 797 | $13,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 810 | $13,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 700 | $13,000 | thousands by filing date | put |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 890 | $13,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 500 | $13,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 200 | $13,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 3,500 | $13,000 | thousands by filing date | put |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 789 | $13,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 1,045 | $13,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359309 | COM | 1,000 | $13,000 | thousands by filing date | put |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 10,000 | $13,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 600 | $13,000 | thousands by filing date | put |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 360 | $13,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 546 | $13,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 2,400 | $13,000 | thousands by filing date | call |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 750 | $13,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 955 | $13,000 | thousands by filing date | call |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 13,000 | $13,000 | thousands by filing date | principal |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 1,486 | $13,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 22,223 | $13,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 3,510 | $13,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 3,100 | $13,000 | thousands by filing date | call |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 5,900 | $13,000 | thousands by filing date | put |
| VIDEOCON D2H LTD | 92657J101 | ADR | 1,500 | $13,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 600 | $12,000 | thousands by filing date | put |
| NOVOCURE LTD | G6674U108 | ORD SHS | 580 | $12,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 492 | $12,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 800 | $12,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 670 | $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 | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 1,016 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 825 | $12,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 775 | $12,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 1,269 | $12,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 1,000 | $12,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 194 | $12,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 3,000 | $12,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 637 | $12,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 2,335 | $12,000 | thousands by filing date | |
| SNYDERS LANCE INC | 833551104 | COM | 324 | $12,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 1,031 | $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 | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 30,300 | $12,000 | thousands by filing date | call |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 4,000 | $12,000 | thousands by filing date | principal |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 241 | $12,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 6,000 | $12,000 | thousands by filing date | principal |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 384 | $12,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 22,500 | $12,000 | thousands by filing date | call |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 3,149 | $12,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 4,900 | $11,000 | thousands by filing date | put |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 3,700 | $11,000 | thousands by filing date | put |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 1,466 | $11,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 499 | $11,000 | thousands by filing date | |
| UMB FINL CORP | 902788108 | COM | 143 | $11,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 169 | $11,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 1,241 | $11,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 900 | $11,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 655 | $11,000 | thousands by filing date | |
| KBR INC COM | 48242W106 | Stock | 615 | $11,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 982 | $11,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 415 | $11,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 910 | $11,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 2,879 | $11,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 626 | $11,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 258 | $11,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 2,272 | $11,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 1,621 | $11,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 1,154 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 400 | $11,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 1,500 | $11,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 2,062 | $11,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 2,408 | $11,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 275 | $11,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 3,800 | $11,000 | thousands by filing date | put |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 100 | $10,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 211 | $10,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 156 | $10,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 2,400 | $10,000 | thousands by filing date | put |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 207 | $10,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 500 | $10,000 | thousands by filing date | call |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 200 | $10,000 | thousands by filing date | |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 308 | $10,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 185 | $10,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 1,200 | $10,000 | thousands by filing date | call |
| THL CREDIT INC | 872438106 | COM | 1,100 | $10,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 600 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 400 | $10,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 4,200 | $10,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 119 | $10,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 600 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 775 | $10,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 300 | $10,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 400 | $10,000 | thousands by filing date | |
| THE STARS GROUP INC | 85570W100 | COMMON STOCK-FO | 476 | $10,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 2,219 | $10,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 4,216 | $10,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 4,100 | $10,000 | thousands by filing date | put |
| BANKFINANCIAL CORP | 06643P104 | COM | 598 | $10,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 400 | $10,000 | thousands by filing date | call |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 2,670 | $10,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256B101 | COM | 492 | $10,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 1,000 | $10,000 | thousands by filing date | put |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 120 | $10,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 10,000 | $10,000 | thousands by filing date | put |
| TICC CAPITAL CORP | 87244T109 | COM | 1,484 | $10,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 111 | $10,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 675 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 155 | $10,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 2,400 | $10,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAD8 | NOTE 3.250% 6/0 | 10,000 | $10,000 | thousands by filing date | principal |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 200 | $9,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 301 | $9,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 250 | $9,000 | thousands by filing date | |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 172 | $9,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 505 | $9,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 1,700 | $9,000 | thousands by filing date | put |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 1,014 | $9,000 | thousands by filing date | |
| GENERAC HLDGS INC | 368736104 | COM | 192 | $9,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 500 | $9,000 | thousands by filing date | put |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 1,052 | $9,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 1,400 | $9,000 | thousands by filing date | put |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 1,100 | $9,000 | thousands by filing date | |
| KNIGHT-SWIFT TRANSN HLDGS IN | 499049104 | CL A | 216 | $9,000 | thousands by filing date | call |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 400 | $9,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 385 | $9,000 | thousands by filing date | |
| YEXT INC | 98585N106 | COM | 700 | $9,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 481 | $9,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 1,000 | $9,000 | thousands by filing date | put |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 2,981 | $9,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 2,630 | $9,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 14,300 | $9,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 700 | $9,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 3,750 | $9,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 314 | $8,000 | thousands by filing date | |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 400 | $8,000 | thousands by filing date | |
| MATADOR RES CO COM | 576485205 | Stock | 300 | $8,000 | thousands by filing date | put |
| KEMPER CORP COM | 488401100 | Stock | 143 | $8,000 | thousands by filing date | |
| RAYMOND JAMES FINL INC COM | 754730109 | Stock | 100 | $8,000 | thousands by filing date | put |
| STANTEC INC COM | 85472N109 | Stock | 305 | $8,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 3,678 | $8,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 67 | $8,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 250 | $8,000 | thousands by filing date | put |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 1,200 | $8,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 423 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 222 | $8,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 450 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 200 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 300 | $8,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 4,000 | $8,000 | thousands by filing date | put |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 300 | $8,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 277 | $8,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 23 | $8,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 2,661 | $8,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 634 | $8,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 900 | $8,000 | thousands by filing date | put |
| OVASCIENCE INC | 69014Q101 | COM | 5,627 | $8,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 13,096 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 250 | $8,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 740 | $8,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 130 | $8,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 871 | $8,000 | thousands by filing date | |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 138 | $8,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 2,020 | $8,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 1,000 | $8,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 22,700 | $8,000 | thousands by filing date | call |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 200 | $7,000 | thousands by filing date | call |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 500 | $7,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 468 | $7,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 521 | $7,000 | thousands by filing date | |
| CABOT MICROELECTRONICS CORP | 12709P103 | COM | 86 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 125 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 300 | $7,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 200 | $7,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 500 | $7,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 2,473 | $7,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 200 | $7,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 292 | $7,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 4,000 | $7,000 | thousands by filing date | |
| CARDTRONICS PLC | G1991C105 | COMMON STOCK-FO | 323 | $7,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 2,800 | $7,000 | thousands by filing date | put |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 400 | $7,000 | thousands by filing date | call |
| COBALT INTL ENERGY | 19075F304 | COM | 4,914 | $7,000 | thousands by filing date | call |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 2,300 | $7,000 | thousands by filing date | put |
| CURIS INC | 231269101 | COM | 4,891 | $7,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 650 | $7,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 5,224 | $7,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $7,000 | thousands by filing date | call |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 3,526 | $7,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 65 | $7,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 326 | $7,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 500 | $7,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 10,000 | $7,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 4,647 | $7,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 4,900 | $7,000 | thousands by filing date | put |
| DIREXION SHS ETF TR | 25490K539 | DAILY FINL BEAR | 500 | $7,000 | thousands by filing date | put |
| OPHTHOTECH CORP | 683745103 | COM | 2,619 | $7,000 | thousands by filing date | |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 5,000 | $7,000 | thousands by filing date | principal |
| TREVENA INC | 89532E109 | COM | 2,620 | $7,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 1,704 | $7,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 1,631 | $6,000 | thousands by filing date | |
| COMMVAULT SYS INC COM | 204166102 | Stock | 100 | $6,000 | thousands by filing date | call |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 1,000 | $6,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 356 | $6,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 153 | $6,000 | thousands by filing date | |
| BANK OF N T BUTTERFIELD & SO | G0772R208 | SHS NEW | 168 | $6,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 193 | $6,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 200 | $6,000 | thousands by filing date | call |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 400 | $6,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 364 | $6,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 367 | $6,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 837 | $6,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 509 | $6,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 704 | $6,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 155 | $6,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 298 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 300 | $6,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 200 | $6,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 83 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 156 | $6,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 1,341 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 200 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 100 | $6,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 6,000 | $6,000 | thousands by filing date | principal |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 150 | $6,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 244 | $6,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 1,171 | $6,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 5,750 | $6,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 470 | $6,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 3,115 | $6,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 1,100 | $6,000 | thousands by filing date | call |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 290 | $6,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW | 33767E103 | COM | 88 | $6,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 200 | $6,000 | thousands by filing date | put |
| NOBILIS HEALTH CORP | 65500B103 | COM | 3,974 | $6,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 233 | $6,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 1,108 | $5,000 | thousands by filing date | |
| COLLIERS INTL GROUP INC SUB VTG SHS | 194693107 | Stock | 94 | $5,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 202 | $5,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 200 | $5,000 | thousands by filing date | put |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 75 | $5,000 | thousands by filing date | |
| FOX FACTORY HLDG CORP | 35138V102 | COM | 121 | $5,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 148 | $5,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 500 | $5,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 400 | $5,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 935 | $5,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 123 | $5,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 394 | $5,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 236 | $5,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 700 | $5,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 300 | $5,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 601 | $5,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 532 | $5,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 712 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 294 | $5,000 | thousands by filing date | |
| UNION BANKSHARES CORP | 90539J109 | COM | 139 | $5,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 100 | $5,000 | thousands by filing date | put |
| KAMADA LTD | M6240T109 | SHS | 1,000 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 271 | $5,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,000 | $5,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 300 | $5,000 | thousands by filing date | put |
| FORTUNA MNG CORP F | 349915108 | COM | 1,100 | $5,000 | thousands by filing date | call |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 350 | $5,000 | thousands by filing date | call |
| CENTERSTATE BK CORP | 15201P109 | COM | 169 | $5,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 105 | $5,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 200 | $5,000 | thousands by filing date | put |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 3,082 | $5,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 2,700 | $5,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 380 | $5,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 3,384 | $5,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 350 | $5,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 2,500 | $5,000 | thousands by filing date | put |
| RADIAN GROUP INC | 750236AK7 | BOND | 3,000 | $5,000 | thousands by filing date | principal |
| OCONEE FED FINL CORP | 675607105 | COM | 176 | $5,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 1,000 | $5,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 979 | $5,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 4,475 | $5,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 896 | $5,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 499 | $5,000 | thousands by filing date | |
| BulletShares 2024 Corporate | 18383M233 | COM | 250 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 110 | $4,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 123 | $4,000 | thousands by filing date | call |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 97 | $4,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 100 | $4,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 200 | $4,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 85 | $4,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 44 | $4,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 300 | $4,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 74 | $4,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 114 | $4,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 1,359 | $4,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 100 | $4,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 318 | $4,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 83 | $4,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 197 | $4,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 300 | $4,000 | thousands by filing date | call |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 797 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 70 | $4,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 400 | $4,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 100 | $4,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 55 | $4,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 700 | $4,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 454 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 125 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 100 | $4,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 231 | $4,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 1,195 | $4,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 3,703 | $4,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 1,600 | $4,000 | thousands by filing date | call |
| Hugoton Royalty Trust | 444717102 | COM | 2,120 | $4,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 427 | $4,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 900 | $4,000 | thousands by filing date | put |
| VOLITIONRX LTD | 928661107 | COM | 1,500 | $4,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 207 | $4,000 | thousands by filing date | |
| ISHARES DOW JONES UBS ROLL S | 45032K102 | SHS BEN INT | 120 | $4,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 200 | $4,000 | thousands by filing date | put |
| Seadrill Partners, LLC | Y7545W109 | LTD | 1,123 | $4,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 231 | $4,000 | thousands by filing date | |
| ADVISORY BOARD CO/THE | 00762W107 | Domestic Common | 76 | $4,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 1,252 | $4,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 267 | $4,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 3,000 | $4,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 115 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 150 | $4,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 1,056 | $4,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 300 | $4,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 1,500 | $4,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 2,000 | $4,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 227 | $4,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 1,000 | $4,000 | thousands by filing date | put |
| ELBIT IMAGING LTD | M37605124 | SHS | 1,586 | $4,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 2,000 | $4,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 10,685 | $4,000 | thousands by filing date | put |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 100 | $4,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 54 | $3,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 2,000 | $3,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 500 | $3,000 | thousands by filing date | call |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 300 | $3,000 | thousands by filing date | put |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 40 | $3,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 112 | $3,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 117 | $3,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 95 | $3,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P607 | NUVEEN ESG SMLCP | 100 | $3,000 | thousands by filing date | |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 68 | $3,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 76 | $3,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 50 | $3,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 200 | $3,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 100 | $3,000 | thousands by filing date | put |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 261 | $3,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 148 | $3,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 79 | $3,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 110 | $3,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 380 | $3,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 292 | $3,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 76 | $3,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 334 | $3,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 200 | $3,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 1,013 | $3,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 44 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 50 | $3,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 500 | $3,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 395 | $3,000 | thousands by filing date | |
| REDFIN CORP | 75737F108 | COM | 100 | $3,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 100 | $3,000 | thousands by filing date | put |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 100 | $3,000 | thousands by filing date | call |
| Rithm Property Trust Inc | 38983D300 | REIT | 188 | $3,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 405 | $3,000 | thousands by filing date | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 99 | $3,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 86 | $3,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 572 | $3,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 2,070 | $3,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 2,000 | $3,000 | thousands by filing date | |
| TRITON INTL LTD | G9078F107 | CL A | 82 | $3,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 55 | $3,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 158 | $3,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 1,015 | $3,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 56 | $3,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 369 | $3,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 504 | $3,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 1,000 | $3,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 2,000 | $3,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 1,000 | $3,000 | thousands by filing date | principal |
| WALTER INVT MGMT CORP | 93317W102 | COM | 4,700 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 200 | $3,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 264 | $3,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 100 | $3,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 116 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 244 | $3,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 200 | $3,000 | thousands by filing date | |
| MULESOFT INC | 625207105 | CL A | 152 | $3,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 407 | $3,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 77 | $3,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V307 | COM NEW | 2,000 | $3,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 500 | $3,000 | thousands by filing date | call |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 440 | $3,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 400 | $3,000 | thousands by filing date | call |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 280 | $3,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 181 | $3,000 | 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 |