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 |
|---|---|---|---|---|---|---|
| ISHARES TR | 46434V696 | CORE MSCI PAC | 501 | $30,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 389 | $30,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 1,544 | $30,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 3,018 | $30,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 3,200 | $30,000 | thousands by filing date | call |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 12,500 | $30,000 | thousands by filing date | call |
| KALA BIO INC COM | 483119103 | Stock | 1,645 | $30,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 2,874 | $30,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 13,899 | $30,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 7,790 | $30,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 16,600 | $30,000 | thousands by filing date | call |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 460 | $30,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 2,090 | $30,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 2,150 | $30,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 3,000 | $30,000 | thousands by filing date | call |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 2,031 | $30,000 | thousands by filing date | |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 3,271 | $30,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 563 | $29,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 232 | $29,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 1,130 | $29,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 850 | $29,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 988 | $29,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 2,513 | $29,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 200 | $29,000 | thousands by filing date | put |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 240 | $29,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 3,500 | $29,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 1,941 | $29,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 1,950 | $29,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 3,000 | $29,000 | thousands by filing date | put |
| PETIQ INC | 71639T106 | COMMON STOCK | 1,284 | $29,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 1,100 | $29,000 | thousands by filing date | put |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 1,750 | $29,000 | thousands by filing date | |
| FNB Bancorp | 302515101 | Common | 787 | $29,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 4,744 | $29,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 15,482 | $29,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 7,944 | $29,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 996 | $29,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 500 | $28,000 | thousands by filing date | call |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 190 | $28,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 1,525 | $28,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 765 | $28,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 3,774 | $28,000 | thousands by filing date | |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 522 | $28,000 | thousands by filing date | |
| UMB FINL CORP | 902788108 | COM | 387 | $28,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 7,202 | $28,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 2,304 | $28,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 1,586 | $28,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 745 | $28,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 1,108 | $28,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 5,268 | $28,000 | thousands by filing date | |
| Spectra Energy Partners | 84756N109 | COM | 700 | $28,000 | thousands by filing date | put |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 2,111 | $28,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 10,349 | $28,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 1,666 | $28,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 1,000 | $28,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 9,215 | $28,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 6,300 | $28,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 6,141 | $28,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 1,757 | $28,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 1,300 | $27,000 | thousands by filing date | put |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 8,300 | $27,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 382 | $27,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 500 | $27,000 | thousands by filing date | call |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 1,255 | $27,000 | thousands by filing date | |
| MYRIAD GENETICS INC | 62855J104 | COM | 800 | $27,000 | thousands by filing date | call |
| SHOE STA GROUP INC | 824889109 | COM | 966 | $27,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 3,105 | $27,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 600 | $27,000 | thousands by filing date | put |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 1,059 | $27,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 1,800 | $27,000 | thousands by filing date | put |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 928 | $27,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 363 | $27,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 3,370 | $27,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 1,300 | $27,000 | thousands by filing date | put |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 1,000 | $27,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 974 | $27,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 6,084 | $27,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 8,800 | $27,000 | thousands by filing date | put |
| HOWARD BANCORP INC COM | 442496105 | COM | 1,218 | $27,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 2,290 | $27,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 1,295 | $27,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 1,027 | $27,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 7,289 | $27,000 | thousands by filing date | |
| SAFETY INCOME & GROWTH INC | 78649D104 | COM | 1,532 | $27,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 8,468 | $27,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 9,900 | $26,000 | thousands by filing date | call |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 1,750 | $26,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 1,100 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 541 | $26,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 2,694 | $26,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 1,836 | $26,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 448 | $26,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 1,040 | $26,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 201 | $26,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 1,220 | $26,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 1,491 | $26,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 1,351 | $26,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 872 | $26,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 2,065 | $26,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 26,610 | $26,000 | thousands by filing date | |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 200 | $26,000 | thousands by filing date | call |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 1,400 | $26,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 52,100 | $26,000 | thousands by filing date | call |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,370 | $26,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 955 | $26,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 1,516 | $26,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 2,673 | $26,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 2,509 | $26,000 | thousands by filing date | |
| GAFISA S A | 362607400 | UNSPONSORED ADR | 2,029 | $26,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 185 | $25,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 6,700 | $25,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 1,832 | $25,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 6,145 | $25,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 1,455 | $25,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 859 | $25,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 3,100 | $25,000 | thousands by filing date | put |
| CABOT MICROELECTRONICS CORP | 12709P103 | COM | 273 | $25,000 | thousands by filing date | |
| AUTOLIV INC | 052800109 | COM | 200 | $25,000 | thousands by filing date | call |
| GNC HLDGS INC | 36191G107 | COM CL A | 6,789 | $25,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 1,000 | $25,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 2,524 | $25,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 389 | $25,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 354 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 1,100 | $25,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 561 | $25,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,000 | $25,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 8,200 | $25,000 | thousands by filing date | put |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 889 | $25,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 1,300 | $25,000 | thousands by filing date | put |
| REALPAGE INC | 75606N109 | COM | 570 | $25,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 900 | $25,000 | thousands by filing date | put |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 10,844 | $25,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 947 | $25,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 234 | $25,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 28,894 | $25,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 340 | $24,000 | thousands by filing date | |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 513 | $24,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 783 | $24,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 10,378 | $24,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 1,058 | $24,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 607 | $24,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 1,800 | $24,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 781 | $24,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 874 | $24,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 2,170 | $24,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 3,509 | $24,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 22,482 | $24,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 3,407 | $24,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 1,157 | $24,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 2,135 | $24,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 700 | $24,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A826 | RANGE CANCER THE | 1,000 | $24,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 1,355 | $24,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 212 | $23,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 684 | $23,000 | thousands by filing date | |
| ACADIA HEALTHCARE COMPANY INC COM | 00404A109 | Stock | 700 | $23,000 | thousands by filing date | call |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 1,490 | $23,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 4,835 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 180 | $23,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 3,038 | $23,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 2,600 | $23,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 250 | $23,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 2,445 | $23,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 1,060 | $23,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 409 | $23,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 6,500 | $23,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 7,279 | $23,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 1,098 | $23,000 | thousands by filing date | |
| SENDGRID INC | 816883102 | COM | 934 | $23,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 15,082 | $23,000 | thousands by filing date | |
| REXNORD CORP | 76169B102 | COMMON STOCK | 886 | $23,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 680 | $23,000 | thousands by filing date | |
| KAPSTONE PAPER AND PACKAGING C | 48562P103 | COM | 1,000 | $23,000 | thousands by filing date | put |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 807 | $23,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 5,662 | $23,000 | thousands by filing date | |
| ENERGY XXI GULF COAST INC | 29276K101 | COM | 4,144 | $23,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 1,824 | $23,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 17,973 | $23,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 3,461 | $22,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 700 | $22,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 3,694 | $22,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 400 | $22,000 | thousands by filing date | call |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 1,424 | $22,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 1,937 | $22,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,715 | $22,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 4,680 | $22,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 410 | $22,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 1,544 | $22,000 | thousands by filing date | |
| COLONY NORTHSTAR INC | 19625W104 | CL A COM | 1,917 | $22,000 | thousands by filing date | put |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 7,000 | $22,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 7,000 | $22,000 | thousands by filing date | call |
| MCDERMOTT INTL INC | 580037109 | COM | 3,300 | $22,000 | thousands by filing date | put |
| BRISTOW GROUP INC | 110394103 | COM | 1,600 | $22,000 | thousands by filing date | put |
| EMCORE CORP | 290846203 | COM | 3,457 | $22,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 7,900 | $22,000 | thousands by filing date | put |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 28,000 | $22,000 | thousands by filing date | principal |
| CELLECT BIOTECHNOLOGY LTD | 15116C110 | *W EXP 08/03/202 | 9,000 | $22,000 | thousands by filing date | call |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 700 | $22,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 11,700 | $21,000 | thousands by filing date | call |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 200 | $21,000 | thousands by filing date | call |
| COMMVAULT SYS INC COM | 204166102 | Stock | 400 | $21,000 | thousands by filing date | call |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 1,310 | $21,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 750 | $21,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 265 | $21,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 2,400 | $21,000 | thousands by filing date | put |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 238 | $21,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 2,140 | $21,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 1,500 | $21,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 517 | $21,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 2,932 | $21,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 1,095 | $21,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 890 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 251 | $21,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 1,328 | $21,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 264 | $21,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 6,100 | $21,000 | thousands by filing date | put |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 5,400 | $21,000 | thousands by filing date | call |
| GLOBALSTAR INC | 378973408 | COM | 16,100 | $21,000 | thousands by filing date | put |
| DECIPHERA PHARMACEUTICALS IN | 24344T101 | COM | 931 | $21,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 3,900 | $21,000 | thousands by filing date | put |
| Etfmg Prime Mobile | 26924G409 | COM | 600 | $21,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 1,542 | $21,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 1,660 | $21,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 7,000 | $21,000 | thousands by filing date | principal |
| FORTERRA INC | 34960W106 | COM | 1,878 | $21,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 2,100 | $21,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 1,203 | $21,000 | thousands by filing date | |
| MEDICINES CO | 584688AE5 | NOTE 2.500% 1/1 | 20,000 | $21,000 | thousands by filing date | principal |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 800 | $20,000 | thousands by filing date | call |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 400 | $20,000 | thousands by filing date | call |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 651 | $20,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 2,100 | $20,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 2,900 | $20,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 1,037 | $20,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 1,980 | $20,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 1,614 | $20,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 1,000 | $20,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 2,500 | $20,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 403 | $20,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 735 | $20,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 1,400 | $20,000 | thousands by filing date | put |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 820 | $20,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 543 | $20,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 11,235 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74348A178 | ULTRAPRO DOW 30 | 1,044 | $20,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 5,065 | $20,000 | thousands by filing date | |
| SINA CORP | 82922RAD5 | NOTE 1.000%12/0 | 18,000 | $20,000 | thousands by filing date | principal |
| UNIQURE NV | N90064101 | SHS | 973 | $19,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 5,000 | $19,000 | thousands by filing date | call |
| ISHARES TR | 46434V738 | CORE MSCI EURO | 380 | $19,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 1,000 | $19,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 420 | $19,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 829 | $19,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 1,500 | $19,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 2,000 | $19,000 | thousands by filing date | call |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 268 | $19,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 1,571 | $19,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 400 | $19,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 2,720 | $19,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 909 | $19,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 2,860 | $19,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 615 | $19,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 3,330 | $19,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 579 | $19,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $19,000 | thousands by filing date | principal |
| APPROACH RESOURCES INC | 03834A103 | COM | 6,353 | $19,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 1,000 | $19,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 2,506 | $19,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 4,100 | $19,000 | thousands by filing date | call |
| iShares Global REIT ETF | 46434V647 | SHS | 700 | $18,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 248 | $18,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 400 | $18,000 | thousands by filing date | put |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 600 | $18,000 | thousands by filing date | call |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 2,700 | $18,000 | thousands by filing date | put |
| BLUE BIRD CORP | 095306106 | COM | 916 | $18,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 414 | $18,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 1,500 | $18,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,050 | $18,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 2,486 | $18,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 728 | $18,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 244 | $18,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 493 | $18,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 1,345 | $18,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,588 | $18,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 2,318 | $18,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 959 | $18,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 3,807 | $18,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 12,000 | $18,000 | thousands by filing date | principal |
| GLYCOMIMETICS INC | 38000Q102 | COM | 1,084 | $18,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 34,804 | $18,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 15,358 | $18,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 18,000 | $18,000 | thousands by filing date | principal |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 841 | $18,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 5,360 | $18,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 305 | $18,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 1,016 | $18,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 1,400 | $18,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 2,699 | $18,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 6,404 | $18,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 1,805 | $18,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 4,558 | $18,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 16,096 | $18,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 600 | $18,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 2,105 | $18,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 1,200 | $17,000 | thousands by filing date | put |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 1,973 | $17,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 3,759 | $17,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 2,054 | $17,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,255 | $17,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 410 | $17,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 200 | $17,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 1,000 | $17,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 450 | $17,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,090 | $17,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 2,950 | $17,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 9,200 | $17,000 | thousands by filing date | put |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 1,335 | $17,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 1,657 | $17,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 1,700 | $17,000 | thousands by filing date | call |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 1,350 | $17,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 3,101 | $17,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 1,453 | $17,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 7,386 | $17,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 955 | $17,000 | thousands by filing date | call |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 450 | $17,000 | thousands by filing date | |
| BulletShares 2024 Corporate | 18383M233 | COM | 836 | $17,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 404 | $17,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 161 | $16,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 200 | $16,000 | thousands by filing date | call |
| SKYWEST INC COM | 830879102 | Stock | 300 | $16,000 | thousands by filing date | put |
| MAXLINEAR INC | 57776J100 | COM | 600 | $16,000 | thousands by filing date | call |
| TRUPANION INC | 898202106 | COM | 534 | $16,000 | thousands by filing date | |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 400 | $16,000 | thousands by filing date | put |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 2,467 | $16,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 1,000 | $16,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 1,426 | $16,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 7,800 | $16,000 | thousands by filing date | put |
| PCM FD INC | 69323T101 | COM | 1,405 | $16,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 1,549 | $16,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 6,800 | $16,000 | thousands by filing date | put |
| SHUTTERFLY INC | 82568P304 | COM | 330 | $16,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 90 | $16,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 223 | $16,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 539 | $16,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 570 | $16,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 4,750 | $16,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 5,500 | $16,000 | thousands by filing date | put |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 4,100 | $16,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 5,100 | $16,000 | thousands by filing date | call |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 650 | $16,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 2,900 | $16,000 | thousands by filing date | put |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 17,000 | $16,000 | thousands by filing date | principal |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 2,984 | $15,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 4,750 | $15,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 1,500 | $15,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 333 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 288 | $15,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 930 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 150 | $15,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 993 | $15,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 234 | $15,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 175 | $15,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 700 | $15,000 | thousands by filing date | call |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 1,100 | $15,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 782 | $15,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 510 | $15,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 2,514 | $15,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 4,255 | $15,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 5,000 | $15,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,210 | $15,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 11,000 | $15,000 | thousands by filing date | principal |
| SENSATA TECHNOLOGIES HOLDING | N7902X106 | COMMON STOCK-FO | 300 | $15,000 | thousands by filing date | call |
| TRITON INTL LTD | G9078F107 | CL A | 402 | $15,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 3,700 | $15,000 | thousands by filing date | put |
| DERMIRA INC | 24983L104 | COM | 529 | $15,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 3,500 | $15,000 | thousands by filing date | call |
| EXONE CO | 302104104 | COM | 1,806 | $15,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 165 | $15,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 11,300 | $15,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 529 | $15,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 1,486 | $15,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M522 | GUG BULL2019 E | 700 | $15,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 371 | $15,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 8,000 | $15,000 | thousands by filing date | principal |
| DYNATRONICS CORP | 268157401 | COM NEW | 5,000 | $15,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 3,157 | $15,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 2,016 | $15,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 1,000 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y413 | DLY JPN BULL 3X | 200 | $15,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 1,842 | $15,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 4,299 | $14,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 4,000 | $14,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 200 | $14,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 963 | $14,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 1,158 | $14,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 670 | $14,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 386 | $14,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 2,399 | $14,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 2,041 | $14,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 404 | $14,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 2,600 | $14,000 | thousands by filing date | call |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 4,115 | $14,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 546 | $14,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 800 | $14,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 2,467 | $14,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 2,257 | $14,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 1,101 | $14,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 701 | $14,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 7,123 | $14,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 1,804 | $14,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338PAB6 | NOTE 4.000% 7/1 | 14,000 | $14,000 | thousands by filing date | principal |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 500 | $13,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 1,524 | $13,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 100 | $13,000 | thousands by filing date | call |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 700 | $13,000 | thousands by filing date | put |
| COPA HOLDINGS SA | P31076105 | CL A | 100 | $13,000 | thousands by filing date | call |
| LCI INDS | 50189K103 | COM | 100 | $13,000 | thousands by filing date | call |
| MICROVISION INC DEL | 594960304 | COM NEW | 7,939 | $13,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 600 | $13,000 | thousands by filing date | put |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 983 | $13,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 2,525 | $13,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 500 | $13,000 | thousands by filing date | |
| AUTOLIV INC | 052800109 | COM | 100 | $13,000 | thousands by filing date | put |
| TITAN MACHY INC | 88830R101 | COM | 634 | $13,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 200 | $13,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 396 | $13,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 1,358 | $13,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 162 | $13,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 789 | $13,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 900 | $13,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 5,669 | $13,000 | thousands by filing date | call |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 3,315 | $13,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 18,558 | $13,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 4,500 | $13,000 | thousands by filing date | put |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 3,000 | $13,000 | thousands by filing date | call |
| DURECT CORP | 266605104 | COM | 14,446 | $13,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 4,155 | $13,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 3,576 | $13,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 1,500 | $13,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 3,056 | $13,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 750 | $13,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 1,000 | $13,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 384 | $13,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 4,600 | $13,000 | thousands by filing date | call |
| Invesco Wilderhill Clean Energy ETF | 73935x112 | COM | 513 | $13,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 4,700 | $13,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 8,143 | $13,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 5,452 | $13,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 800 | $13,000 | thousands by filing date | call |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 12,000 | $13,000 | thousands by filing date | principal |
| COGINT INC | 19241Q101 | COM | 2,996 | $13,000 | thousands by filing date | |
| iShares MSCI Intl Momentum Factor ETF | 46434V449 | SHS | 377 | $12,000 | thousands by filing date | |
| PACKAGING CORP AMER COM | 695156109 | Stock | 100 | $12,000 | thousands by filing date | put |
| 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 | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 1,978 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 825 | $12,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 358 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 312 | $12,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 156 | $12,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 800 | $12,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 621 | $12,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 1,045 | $12,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 800 | $12,000 | thousands by filing date | put |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 258 | $12,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 700 | $12,000 | thousands by filing date | put |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 1,846 | $12,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 1,175 | $12,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 611 | $12,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 800 | $12,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 1,040 | $12,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 275 | $12,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 241 | $12,000 | thousands by filing date | |
| CBTX INC | 12481V104 | COM | 402 | $12,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 3,800 | $12,000 | thousands by filing date | put |
| COHBAR INC COM NEW | 19249J109 | Stock | 2,500 | $12,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 3,447 | $12,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 1,241 | $12,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 3,315 | $11,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 478 | $11,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 4,090 | $11,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 215 | $11,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 156 | $11,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 900 | $11,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 1,726 | $11,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 724 | $11,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 1,815 | $11,000 | thousands by filing date | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 300 | $11,000 | thousands by filing date | put |
| VALUE LINE INC | 920437100 | COMMON STOCK | 596 | $11,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 732 | $11,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 334 | $11,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 1,000 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 380 | $11,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 3,000 | $11,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 637 | $11,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,000 | $11,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 645 | $11,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 1,711 | $11,000 | 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 |