13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2017-12-31, filed 2018-02-12, with 7,612 holding rows worth $124,753,109,000.
- Accession
- 0000831001-18-000008
- Filer
- CIK 831001
- Filed
- 2018-02-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2017
A holdings report, 16,357 entries on the cover page, a total value of $124,753,109,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $124,753,109,000 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 Derivatives Markets Inc.028-11547
- included managerCitigroup Financial Products Inc.028-01114
- included managerCitigroup Global Markets Deutschland AG028-10817
- included managerCitigroup Global Markets Europe Ltd028-04305
- included managerCitigroup Global Markets Finance Corp & Co. beschrankt haftende KG028-10821
- included managerCitigroup Global Markets Holdings Inc.028-01109
- included managerCitigroup Global Markets Inc.028-00541
- included managerCitigroup Global Markets 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 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 |
|---|---|---|---|---|---|---|
| EROS INTL PLC | G3788M114 | SHS NEW | 6,600 | $64,000 | thousands by filing date | put |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 1,063 | $64,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 7,291 | $64,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 5,808 | $64,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 1,569 | $63,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 1,236 | $63,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 3,878 | $63,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 5,575 | $63,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 7,900 | $63,000 | thousands by filing date | call |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 6,400 | $63,000 | thousands by filing date | call |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 2,040 | $63,000 | thousands by filing date | |
| Direxion Daily Small Cap Bear | 25490k521 | COM | 5,100 | $63,000 | thousands by filing date | put |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 10,542 | $63,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 4,083 | $63,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 6,180 | $63,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 1,500 | $63,000 | thousands by filing date | put |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 2,100 | $63,000 | thousands by filing date | put |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 1,892 | $62,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 16,800 | $62,000 | thousands by filing date | put |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 25,400 | $62,000 | thousands by filing date | put |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 1,100 | $62,000 | thousands by filing date | call |
| FS KKR CAPITAL CORP | 302635107 | COM | 8,469 | $62,000 | thousands by filing date | call |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 1,905 | $62,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 9,573 | $62,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 11,805 | $62,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 49,700 | $62,000 | thousands by filing date | call |
| AGENUS INC | 00847G705 | COM NEW | 18,936 | $62,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 27,100 | $62,000 | thousands by filing date | call |
| BRINKER INTL INC COM | 109641100 | Stock | 1,566 | $61,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 20,400 | $61,000 | thousands by filing date | call |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 2,000 | $61,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044105 | COM | 950 | $61,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 3,318 | $61,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 5,206 | $61,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 1,191 | $61,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 87,463 | $60,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 2,435 | $60,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 2,000 | $60,000 | thousands by filing date | put |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 8,154 | $60,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 16,000 | $60,000 | thousands by filing date | call |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 5,146 | $60,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 60,000 | $60,000 | thousands by filing date | principal |
| GENER8 MARITIME INC | Y26889108 | COM | 8,961 | $60,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 1,900 | $59,000 | thousands by filing date | call |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 1,927 | $59,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 1,400 | $59,000 | thousands by filing date | put |
| OCEANEERING INTL INC | 675232102 | COM | 2,800 | $59,000 | thousands by filing date | call |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 2,514 | $59,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 1,310 | $59,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 2,270 | $59,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 2,761 | $59,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 14,800 | $59,000 | thousands by filing date | put |
| AV HOMES INC | 00234P102 | COM | 3,524 | $59,000 | thousands by filing date | |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 926 | $59,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 3,531 | $58,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 1,413 | $58,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 31,100 | $58,000 | thousands by filing date | call |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 864 | $58,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 3,500 | $58,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 556 | $58,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 3,177 | $58,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 2,109 | $58,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 4,500 | $58,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 28,841 | $58,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 5,900 | $58,000 | thousands by filing date | call |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 1,200 | $58,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 40,100 | $58,000 | thousands by filing date | call |
| LOXO ONCOLOGY INC | 548862101 | COM | 692 | $58,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 3,767 | $58,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 7,500 | $58,000 | thousands by filing date | put |
| NUTRI SYS INC NEW | 67069D108 | COM | 1,107 | $58,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 14,100 | $58,000 | thousands by filing date | call |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 4,186 | $58,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 2,865 | $58,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J116 | PFD CONV SER A | 99 | $58,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 19,900 | $58,000 | thousands by filing date | put |
| WORKIVA INC COM CL A | 98139A105 | Stock | 2,638 | $57,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 5,000 | $57,000 | thousands by filing date | call |
| BOSTON BEER INC CL A | 100557107 | Stock | 300 | $57,000 | thousands by filing date | call |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 23,204 | $57,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 12,894 | $57,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 1,118 | $57,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 7,389 | $57,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 3,693 | $57,000 | thousands by filing date | |
| MIMECAST LIMITED | G14838109 | ORD SHS | 2,001 | $57,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 1,471 | $57,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 2,075 | $57,000 | thousands by filing date | |
| MICROSEMI CORP | 595137100 | COM | 1,100 | $57,000 | thousands by filing date | call |
| FLOTEK INDS INC DEL | 343389102 | COM | 12,200 | $57,000 | thousands by filing date | call |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 1,187 | $57,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 9,755 | $57,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 510 | $57,000 | thousands by filing date | |
| MULESOFT INC | 625207105 | CL A | 2,448 | $57,000 | thousands by filing date | |
| HUBSPOTINC | 443573100 | STOK | 633 | $56,000 | thousands by filing date | |
| INGREDION INC COM | 457187102 | Stock | 400 | $56,000 | thousands by filing date | call |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 3,000 | $56,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 1,650 | $56,000 | thousands by filing date | call |
| LENNAR CORP CL B | 526057302 | Stock | 1,050 | $56,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 2,872 | $56,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 806 | $56,000 | thousands by filing date | |
| SLEEP NUMBER CORP | 83125X103 | COM D | 1,500 | $56,000 | thousands by filing date | put |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 539 | $56,000 | thousands by filing date | |
| IMPERVA INC | 45321L100 | COM | 1,400 | $56,000 | thousands by filing date | put |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 12,207 | $56,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 5,259 | $56,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 13,800 | $56,000 | thousands by filing date | call |
| SCORPIO BULKERS INC | Y7546A122 | COM | 7,500 | $56,000 | thousands by filing date | call |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 3,155 | $55,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 1,062 | $55,000 | thousands by filing date | |
| TRANSDIGM GROUP INC COM | 893641100 | Stock | 200 | $55,000 | thousands by filing date | call |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 3,067 | $55,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 5,986 | $55,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 981 | $55,000 | thousands by filing date | |
| SIGNATURE BANK | 82669G104 | COM | 400 | $55,000 | thousands by filing date | call |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 910 | $55,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 16,900 | $55,000 | thousands by filing date | put |
| LIBBEY INC | 529898108 | COM | 7,351 | $55,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 3,049 | $55,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 1,454 | $55,000 | thousands by filing date | |
| BMC STK HLDGS INC | 05591B109 | COM | 2,172 | $55,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 10,335 | $55,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 1,000 | $54,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 1,300 | $54,000 | thousands by filing date | |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 1,200 | $54,000 | thousands by filing date | call |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 10,900 | $54,000 | thousands by filing date | call |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 23,380 | $54,000 | thousands by filing date | put |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 1,550 | $54,000 | thousands by filing date | |
| BLACKLINE, INC. | 09239B109 | COM | 1,647 | $54,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 5,000 | $54,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 4,267 | $54,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 1,374 | $54,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 6,000 | $53,000 | thousands by filing date | |
| OCEANEERING INTL INC | 675232102 | COM | 2,500 | $53,000 | thousands by filing date | put |
| EVERBRIDGE INC | 29978A104 | COM | 1,789 | $53,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 1,691 | $53,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 1,227 | $53,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 1,314 | $53,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 1,000 | $53,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 4,337 | $53,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 14,000 | $53,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 2,344 | $53,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 872 | $53,000 | thousands by filing date | |
| PROSHARES TR II | 74347W163 | ULTRA VIX SHORT | 5,235 | $53,000 | thousands by filing date | put |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 3,300 | $53,000 | thousands by filing date | put |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 50,000 | $53,000 | thousands by filing date | principal |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 56,000 | $53,000 | thousands by filing date | principal |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 21,000 | $53,000 | thousands by filing date | principal |
| UNITED BANKSHARES INC WEST VA COM | 909907107 | Stock | 1,490 | $52,000 | thousands by filing date | |
| PENUMBRA INC COM | 70975L107 | Stock | 549 | $52,000 | thousands by filing date | |
| BXP INC COM | 101121101 | REIT | 400 | $52,000 | thousands by filing date | put |
| BXP INC COM | 101121101 | REIT | 400 | $52,000 | thousands by filing date | call |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 5,000 | $52,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 897 | $52,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 2,800 | $52,000 | thousands by filing date | put |
| PTC THERAPEUTICS INC | 69366J200 | COM | 3,100 | $52,000 | thousands by filing date | put |
| VISTA OUTDOOR INC | 928377100 | COM | 3,552 | $52,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 3,920 | $52,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 3,158 | $52,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 2,546 | $52,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 7,010 | $52,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 2,085 | $52,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 75,000 | $52,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 75,000 | $52,000 | thousands by filing date | principal |
| MICROSEMI CORP | 595137100 | COM | 1,000 | $52,000 | thousands by filing date | put |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 7,533 | $52,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 1,539 | $52,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 13,500 | $51,000 | thousands by filing date | put |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 989 | $51,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 933 | $51,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 4,146 | $51,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 18,605 | $51,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 2,445 | $51,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 2,679 | $51,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 4,673 | $51,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 6,206 | $51,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 7,200 | $51,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 2,539 | $50,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 3,676 | $50,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 1,700 | $50,000 | thousands by filing date | put |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 10,189 | $50,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 800 | $50,000 | thousands by filing date | put |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 3,571 | $50,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 3,947 | $50,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 3,600 | $50,000 | thousands by filing date | put |
| CRAWFORD & CO | 224633107 | COM | 5,159 | $50,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 5,259 | $50,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 4,900 | $50,000 | thousands by filing date | put |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 2,663 | $50,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 2,500 | $50,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 2,897 | $50,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 50,000 | $50,000 | thousands by filing date | principal |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 2,309 | $49,000 | thousands by filing date | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 2,549 | $49,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 4,100 | $49,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 4,814 | $49,000 | thousands by filing date | |
| MINDBODY INC | 60255W105 | COM CL A | 1,631 | $49,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 1,700 | $49,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 11,200 | $49,000 | thousands by filing date | call |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 6,844 | $49,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 1,000 | $49,000 | thousands by filing date | put |
| INFINERA CORP | 45667G103 | COMMON STOCK | 7,906 | $49,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 12,291 | $49,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 3,657 | $49,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M104 | INT COM SER A | 2,000 | $49,000 | thousands by filing date | put |
| PCM INC | 69323K100 | COM | 4,938 | $49,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 5,408 | $49,000 | thousands by filing date | put |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 3,794 | $48,000 | thousands by filing date | |
| MONGODB INC CL A | 60937P106 | Stock | 1,622 | $48,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 3,030 | $48,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 4,500 | $48,000 | thousands by filing date | put |
| AXT INC | 00246W103 | COM | 5,504 | $48,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 995 | $48,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 525 | $48,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 1,418 | $48,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 3,800 | $48,000 | thousands by filing date | call |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 3,502 | $48,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 38,700 | $48,000 | thousands by filing date | put |
| HEALTHSOUTH CORP | 421924309 | COM NEW | 970 | $48,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 4,887 | $48,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 14,979 | $48,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 7,066 | $48,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 37,580 | $48,000 | thousands by filing date | call |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 5,699 | $47,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 777 | $47,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 2,055 | $47,000 | thousands by filing date | |
| ICHOR HOLDINGS | G4740B105 | SHS | 1,913 | $47,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 5,400 | $47,000 | thousands by filing date | call |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 1,051 | $47,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 2,082 | $47,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 2,371 | $47,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 33,058 | $47,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 6,200 | $47,000 | thousands by filing date | put |
| TRANSENTERIX INC | 89366M201 | COM NEW | 24,400 | $47,000 | thousands by filing date | put |
| NOBILIS HEALTH CORP | 65500B103 | COM | 34,926 | $47,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 1,545 | $46,000 | thousands by filing date | |
| MADISON SQUARE GRDN SPRT CORP CL A | 55825T103 | Stock | 220 | $46,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 3,169 | $46,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 7,712 | $46,000 | thousands by filing date | |
| KBR INC COM | 48242W106 | Stock | 2,307 | $46,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 4,128 | $46,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 2,200 | $46,000 | thousands by filing date | call |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 6,039 | $46,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 35,000 | $46,000 | thousands by filing date | principal |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 720 | $46,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 25,421 | $46,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 400 | $45,000 | thousands by filing date | call |
| MYRIAD GENETICS INC | 62855J104 | COM | 1,300 | $45,000 | thousands by filing date | put |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 4,019 | $45,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 2,700 | $45,000 | thousands by filing date | put |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,599 | $45,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 10,200 | $45,000 | thousands by filing date | put |
| KOPIN CORP | 500600101 | COMMON STOCK | 13,974 | $45,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 1,878 | $45,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 1,611 | $45,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 4,445 | $45,000 | thousands by filing date | |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 2,864 | $45,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 6,100 | $45,000 | thousands by filing date | put |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 2,040 | $45,000 | thousands by filing date | |
| MATADOR RES CO COM | 576485205 | Stock | 1,400 | $44,000 | thousands by filing date | put |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 500 | $44,000 | thousands by filing date | put |
| MAIN STR CAP CORP | 56035L104 | COM | 1,100 | $44,000 | thousands by filing date | put |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 2,000 | $44,000 | thousands by filing date | |
| SCHNEIDER NATIONAL INC | 80689H102 | CL B | 1,557 | $44,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 3,090 | $44,000 | thousands by filing date | |
| ANSYS INC COM | 03662Q105 | COM | 300 | $44,000 | thousands by filing date | put |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 2,261 | $44,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 3,100 | $44,000 | thousands by filing date | call |
| ISHARES TR | 464287846 | DOW JONES US ETF | 333 | $44,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 3,168 | $44,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 1,767 | $44,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 1,530 | $44,000 | thousands by filing date | |
| THE ULTIMATE SOFTWARE GROUP IN | 90385D107 | COM | 200 | $44,000 | thousands by filing date | put |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 850 | $44,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 4,900 | $44,000 | thousands by filing date | call |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 6,500 | $44,000 | thousands by filing date | call |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 2,000 | $44,000 | thousands by filing date | call |
| REVLON INC | 761525609 | OPT | 2,009 | $44,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 2,900 | $44,000 | thousands by filing date | put |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 2,800 | $44,000 | thousands by filing date | put |
| MESA LABS INC COM | 59064R109 | Stock | 340 | $43,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 12,000 | $43,000 | thousands by filing date | put |
| WESTLAKE CORPORATION | 960413102 | COM | 400 | $43,000 | thousands by filing date | put |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 3,211 | $43,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 807 | $43,000 | thousands by filing date | |
| Direxion Daily Small Cap Bear | 25490k521 | COM | 3,500 | $43,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 1,650 | $43,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN LSR | 73935X757 | COM | 981 | $43,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 2,682 | $43,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 1,758 | $43,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 4,556 | $42,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 1,000 | $42,000 | thousands by filing date | call |
| CLEAN HARBORS INC COM | 184496107 | Stock | 774 | $42,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 3,700 | $42,000 | thousands by filing date | call |
| TERADATA CORP DEL | 88076W103 | COM | 1,100 | $42,000 | thousands by filing date | put |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 1,044 | $42,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 2,079 | $42,000 | thousands by filing date | |
| PRA HEALTH SCIENCES INC | 69354M108 | COM | 463 | $42,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 3,204 | $42,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 4,834 | $42,000 | thousands by filing date | |
| HARRIS CORP INC | 413875105 | COM | 300 | $42,000 | thousands by filing date | put |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 2,361 | $42,000 | thousands by filing date | |
| CSRA INC | 12650T104 | COM | 1,400 | $42,000 | thousands by filing date | call |
| AVID TECHNOLOGY INC | 05367P100 | COM | 7,671 | $42,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 546 | $42,000 | thousands by filing date | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 2,106 | $42,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES LTD | 57778L103 | COM | 647 | $42,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 811 | $41,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 3,500 | $41,000 | thousands by filing date | |
| CARGURUS INC COM CL A | 141788109 | Stock | 1,357 | $41,000 | thousands by filing date | |
| WD 40 CO COM | 929236107 | Stock | 344 | $41,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 741 | $41,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 4,695 | $41,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 1,667 | $41,000 | thousands by filing date | |
| NEVRO CORP | 64157F103 | COM | 598 | $41,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 2,332 | $41,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 1,428 | $41,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 6,890 | $41,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 4,009 | $41,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 2,000 | $41,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 868 | $40,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 1,745 | $40,000 | thousands by filing date | |
| ROGERS CORP COM | 775133101 | Stock | 248 | $40,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 4,575 | $40,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 636 | $40,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 3,864 | $40,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 4,022 | $40,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 3,314 | $40,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 11,700 | $40,000 | thousands by filing date | call |
| CHIMERIX INC COM | 16934W106 | Stock | 8,664 | $40,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 10,700 | $40,000 | thousands by filing date | put |
| PANDORA MEDIA INC | 698354107 | COM | 8,353 | $40,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 1,177 | $40,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 1,000 | $40,000 | thousands by filing date | put |
| DIREXION SHS ETF TR | 25490K273 | COM | 796 | $40,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 1,311 | $39,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 359 | $39,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 3,900 | $39,000 | thousands by filing date | call |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 505 | $39,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 3,366 | $39,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 1,637 | $39,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 4,100 | $39,000 | thousands by filing date | call |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 4,735 | $39,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 600 | $39,000 | thousands by filing date | call |
| VBI VACCINES INC | 91822J103 | COM NEW | 8,930 | $39,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 2,045 | $39,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 950 | $39,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BEAR 3X SHARES | 25490K745 | Common Stocks | 8,500 | $39,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 9,875 | $39,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723AA8 | NOTE 2.500 7/1 | 43,000 | $39,000 | thousands by filing date | principal |
| Schwab US REIT ETF | 808524847 | SHS | 915 | $38,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 445 | $38,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 1,750 | $38,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 836 | $38,000 | thousands by filing date | |
| BALCHEM CORP | 057665200 | COM | 470 | $38,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 8,746 | $38,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 875 | $38,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 1,070 | $38,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 2,500 | $38,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 4,000 | $38,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 6,351 | $38,000 | thousands by filing date | |
| YEXT INC | 98585N106 | COM | 3,147 | $38,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 3,917 | $38,000 | thousands by filing date | |
| DBX ETF TR | 233051820 | XTRACK MSCI ALL | 1,364 | $38,000 | thousands by filing date | |
| GENESEE & WYOMING INC | 371559105 | CL A | 475 | $38,000 | thousands by filing date | |
| SLEEP NUMBER CORP | 83125X103 | COM D | 1,000 | $38,000 | thousands by filing date | call |
| iShares Gold Trust | 464285105 | ISHARES | 3,000 | $38,000 | thousands by filing date | put |
| AMTRUST FINL SVCS INC | 032359309 | COM | 3,772 | $38,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 9,626 | $38,000 | thousands by filing date | |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 4,000 | $38,000 | thousands by filing date | principal |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,676 | $37,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 2,000 | $37,000 | thousands by filing date | call |
| VIASAT INC | 92552V100 | COM | 488 | $37,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 3,127 | $37,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 1,894 | $37,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 2,500 | $37,000 | thousands by filing date | put |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 549 | $37,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 4,000 | $37,000 | thousands by filing date | put |
| LIBERTY | 531229888 | COMMON STOCK | 1,626 | $37,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAB7 | NOTE 2.000%12/0 | 34,000 | $37,000 | thousands by filing date | principal |
| SMART GLOBAL HLDGS INC | G8232Y101 | COM | 1,092 | $37,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M104 | INT COM SER A | 1,500 | $37,000 | thousands by filing date | call |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 1,404 | $37,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 5,737 | $37,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 27,895 | $37,000 | thousands by filing date | |
| AK STL CORP | 001546AP5 | NOTE 5.000%11/1 | 28,000 | $37,000 | thousands by filing date | principal |
| RENREN INC | 759892201 | SPON ADR A NEW | 3,568 | $37,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 1,750 | $36,000 | thousands by filing date | |
| FIRST FINL BANKSHARES INC COM | 32020R109 | Stock | 798 | $36,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 4,488 | $36,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 8,418 | $36,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 2,815 | $36,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 3,432 | $36,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 1,303 | $36,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 3,600 | $36,000 | thousands by filing date | put |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 2,888 | $36,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 3,860 | $36,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 689 | $36,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 1,863 | $36,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 6,800 | $36,000 | thousands by filing date | call |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 8,200 | $36,000 | thousands by filing date | put |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 1,211 | $36,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 2,561 | $36,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 1,369 | $36,000 | thousands by filing date | |
| NEVRO CORP | 64157FAA1 | BOND | 34,000 | $36,000 | thousands by filing date | principal |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 32,000 | $36,000 | thousands by filing date | principal |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 280 | $35,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 1,000 | $35,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 1,100 | $35,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 2,791 | $35,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 4,278 | $35,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 4,197 | $35,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 3,278 | $35,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 5,292 | $35,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 4,535 | $35,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 6,000 | $35,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 1,700 | $35,000 | thousands by filing date | call |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 1,221 | $35,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 2,277 | $35,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 3,400 | $35,000 | thousands by filing date | call |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 9,200 | $35,000 | thousands by filing date | put |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 750 | $35,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 4,308 | $35,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V108 | COM SER A | 1,577 | $35,000 | thousands by filing date | |
| CASEYS GEN STORES INC | 147528103 | COM | 300 | $34,000 | thousands by filing date | put |
| LITHIA MTRS INC COM | 536797103 | Stock | 300 | $34,000 | thousands by filing date | call |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 4,398 | $34,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 1,600 | $34,000 | thousands by filing date | put |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 2,400 | $34,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 3,309 | $34,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 1,000 | $34,000 | thousands by filing date | call |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 3,000 | $34,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 1,604 | $34,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 3,500 | $34,000 | thousands by filing date | put |
| TWIN DISC INC | 901476101 | COMMON STOCK | 1,264 | $34,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 1,386 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 380 | $34,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 3,541 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 400 | $34,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 1,202 | $34,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 9,900 | $34,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 6,500 | $34,000 | thousands by filing date | put |
| HORIZON GLOBAL CORP | 44052W104 | COM | 2,450 | $34,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 664 | $33,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 1,157 | $33,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 2,207 | $33,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 3,800 | $33,000 | thousands by filing date | put |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 5,271 | $33,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 1,312 | $33,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 4,111 | $33,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 355 | $33,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 25,333 | $33,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 1,625 | $33,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 1,130 | $33,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 938 | $33,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BEAR 3X SHARES | 25490K745 | Common Stocks | 7,100 | $33,000 | thousands by filing date | call |
| BG STAFFING INC | 05544A109 | COM | 2,090 | $33,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 1,592 | $33,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 1,100 | $33,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 8,200 | $33,000 | thousands by filing date | put |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 2,142 | $33,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 3,872 | $33,000 | thousands by filing date | |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 26,000 | $33,000 | thousands by filing date | principal |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 969 | $32,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 3,308 | $32,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 2,300 | $32,000 | thousands by filing date | call |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 7,200 | $32,000 | thousands by filing date | put |
| FATE THERAPEUTICS INC | 31189P102 | COM | 5,193 | $32,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 1,378 | $32,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 1,021 | $32,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 3,054 | $32,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 7,868 | $32,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 2,155 | $32,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 705 | $32,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 1,555 | $32,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 400 | $32,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 2,800 | $32,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 1,630 | $32,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 7,071 | $32,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 2,400 | $32,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 13,165 | $32,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 580 | $31,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 508 | $31,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 5,042 | $31,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 300 | $31,000 | thousands by filing date | put |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 1,709 | $31,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 1,664 | $31,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 895 | $31,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 516 | $31,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 1,323 | $31,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 2,368 | $31,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 3,950 | $31,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 6,100 | $31,000 | thousands by filing date | put |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 5,338 | $31,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 1,525 | $31,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 14,630 | $31,000 | thousands by filing date | |
| LIBERTY EXPEDIA HLDGS INC | 53046P109 | SER A COM | 697 | $31,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 1,203 | $30,000 | thousands by filing date | |
| JONES LANG LASALLE INC COM | 48020Q107 | Stock | 200 | $30,000 | thousands by filing date | call |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 1,305 | $30,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 254 | $30,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-18-000008 | this filing | 2018-02-12 | acceptance time not in the bulk data set |