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 |
|---|---|---|---|---|---|---|
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 7,223 | $11,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 265 | $11,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 1,223 | $11,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 2,272 | $11,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 5,437 | $11,000 | thousands by filing date | call |
| SONIC CORP | 835451105 | COM | 400 | $11,000 | thousands by filing date | put |
| TEAM INC | 878155100 | COM | 745 | $11,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 8,923 | $11,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 120 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 400 | $11,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 900 | $11,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 1,001 | $11,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 2,062 | $11,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 870 | $11,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 10,300 | $11,000 | thousands by filing date | |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 155 | $11,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 1,159 | $11,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 416 | $11,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 5,879 | $11,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 10,655 | $11,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 201 | $10,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 391 | $10,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 2,130 | $10,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 669 | $10,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 500 | $10,000 | thousands by filing date | call |
| NISOURCE INC COM | 65473P105 | Stock | 400 | $10,000 | thousands by filing date | put |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 200 | $10,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 348 | $10,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 200 | $10,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 882 | $10,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 451 | $10,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 1,100 | $10,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 600 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 400 | $10,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 358 | $10,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 347 | $10,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 145 | $10,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 525 | $10,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 1,378 | $10,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 1,022 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 450 | $10,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 119 | $10,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 2,000 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 775 | $10,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 300 | $10,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,500 | $10,000 | thousands by filing date | call |
| DIREXION DAILY S&P BIOTECH BULL 3X ETF | 25490K323 | ETF | 125 | $10,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 2,600 | $10,000 | thousands by filing date | put |
| MARINE PRODS CORP | 568427108 | cs | 789 | $10,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 1,514 | $10,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 700 | $10,000 | thousands by filing date | put |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 111 | $10,000 | thousands by filing date | |
| AQUANTIA CORP | 03842Q108 | COM | 827 | $10,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 1,277 | $10,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 1,000 | $10,000 | thousands by filing date | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 400 | $10,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 681 | $10,000 | thousands by filing date | |
| EZCORP INC | 302301AB2 | NOTE 2.125% 6/1 | 10,000 | $10,000 | thousands by filing date | principal |
| PROSHARES TR ULTPRO SHT 2017 | 74348A152 | CEF | 319 | $10,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 1,022 | $10,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 301 | $9,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 246 | $9,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 1,000 | $9,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 1,033 | $9,000 | thousands by filing date | |
| RAYMOND JAMES FINL INC COM | 754730109 | Stock | 100 | $9,000 | thousands by filing date | put |
| STANTEC INC COM | 85472N109 | Stock | 309 | $9,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 3,646 | $9,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 2,461 | $9,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 1,100 | $9,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 1,000 | $9,000 | thousands by filing date | call |
| EASTMAN KODAK CO | 277461406 | COM NEW | 3,113 | $9,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 400 | $9,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 185 | $9,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 436 | $9,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 500 | $9,000 | thousands by filing date | call |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 527 | $9,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 352 | $9,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 600 | $9,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 300 | $9,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 400 | $9,000 | thousands by filing date | |
| THE STARS GROUP INC | 85570W100 | COMMON STOCK-FO | 376 | $9,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 1,000 | $9,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 927 | $9,000 | thousands by filing date | |
| SCRIPPS NETWORKS INTERACT IN | 811065101 | CL A COM | 100 | $9,000 | thousands by filing date | call |
| BENEFITFOCUS INC | 08180D106 | COM | 331 | $9,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 685 | $9,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 205 | $9,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 13,096 | $9,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 572 | $9,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 2,630 | $9,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 200 | $9,000 | thousands by filing date | put |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 250 | $9,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 2,100 | $9,000 | thousands by filing date | put |
| ATHERSYS INC | 04744L106 | COM | 5,200 | $9,000 | thousands by filing date | put |
| Arsanis Inc | 042873109 | COM | 701 | $9,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 1,187 | $9,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 22,500 | $9,000 | thousands by filing date | call |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 500 | $8,000 | thousands by filing date | put |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 67 | $8,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 1,335 | $8,000 | thousands by filing date | |
| WARRIOR MET COAL INC | 93627C101 | COM | 333 | $8,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 800 | $8,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 1,000 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 125 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 385 | $8,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 250 | $8,000 | thousands by filing date | put |
| OXFORD INDS INC | 691497309 | COM | 100 | $8,000 | thousands by filing date | call |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 261 | $8,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 229 | $8,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 1,886 | $8,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 681 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 222 | $8,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 319 | $8,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 1,991 | $8,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 200 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 200 | $8,000 | thousands by filing date | |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 300 | $8,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 10,000 | $8,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 1,222 | $8,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 6,867 | $8,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 500 | $8,000 | thousands by filing date | call |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,034 | $8,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 5,627 | $8,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 325 | $8,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 1,900 | $8,000 | thousands by filing date | call |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 128 | $8,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 4,664 | $8,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 6,632 | $8,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 162 | $8,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 12,667 | $8,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 11,700 | $8,000 | thousands by filing date | put |
| VITAL THERAPIES INC | 92847R104 | COM | 1,333 | $8,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 1,099 | $8,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 452 | $8,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 3,975 | $8,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 1,509 | $8,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 3,578 | $8,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 3,526 | $8,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 1,132 | $8,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 189 | $7,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 200 | $7,000 | thousands by filing date | put |
| TEGNA INC COM | 87901J105 | Stock | 500 | $7,000 | thousands by filing date | put |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 363 | $7,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 153 | $7,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 2,100 | $7,000 | thousands by filing date | call |
| COHU INC | 192576106 | COM | 314 | $7,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 400 | $7,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 468 | $7,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 1,223 | $7,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 422 | $7,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664103 | COM | 100 | $7,000 | thousands by filing date | call |
| METALLUS INC | 887399103 | COMMON STOCK | 440 | $7,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 134 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 300 | $7,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 280 | $7,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 2,600 | $7,000 | thousands by filing date | put |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 1,525 | $7,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 17 | $7,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 362 | $7,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 190 | $7,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 671 | $7,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 2,679 | $7,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 2,500 | $7,000 | thousands by filing date | put |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 4,320 | $7,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 18,656 | $7,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 65 | $7,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 1,253 | $7,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 2,237 | $7,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 1,183 | $7,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 218 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K133 | DAILY GOLD MINER | 300 | $7,000 | thousands by filing date | put |
| COLLIERS INTL GROUP INC SUB VTG SHS | 194693107 | Stock | 97 | $6,000 | thousands by filing date | |
| WEIS MKTS INC COM | 948849104 | Stock | 154 | $6,000 | thousands by filing date | |
| ROBERT HALF INC. COM | 770323103 | Stock | 100 | $6,000 | thousands by filing date | call |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 206 | $6,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 244 | $6,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 1,000 | $6,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 1,300 | $6,000 | thousands by filing date | call |
| CELCUITY INC | 15102K100 | COM | 317 | $6,000 | thousands by filing date | |
| KNIGHT-SWIFT TRANSN HLDGS IN | 499049104 | CL A | 144 | $6,000 | thousands by filing date | call |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 300 | $6,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 400 | $6,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 500 | $6,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 391 | $6,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 118 | $6,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 394 | $6,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 100 | $6,000 | thousands by filing date | put |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 3,000 | $6,000 | thousands by filing date | call |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 219 | $6,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 427 | $6,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 83 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 294 | $6,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 113 | $6,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 453 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 200 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 100 | $6,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 6,000 | $6,000 | thousands by filing date | principal |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 605 | $6,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 1,500 | $6,000 | thousands by filing date | put |
| Ramaco Resources Inc | 75134P303 | COM CL B | 911 | $6,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 161 | $6,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 162 | $6,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 700 | $6,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 1,513 | $6,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 400 | $6,000 | thousands by filing date | call |
| BRISTOW GROUP INC | 110394103 | COM | 412 | $6,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 2,200 | $6,000 | thousands by filing date | put |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 470 | $6,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 4,000 | $6,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW | 33767E103 | COM | 89 | $6,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 500 | $6,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 608 | $6,000 | thousands by filing date | |
| U S GEOTHERMAL INC COM NEW | 90338S201 | Stock | 1,666 | $6,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 1,000 | $5,000 | thousands by filing date | put |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 253 | $5,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 2,000 | $5,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 200 | $5,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 666 | $5,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 849 | $5,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 23 | $5,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 1,300 | $5,000 | thousands by filing date | call |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 375 | $5,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 281 | $5,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 200 | $5,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 500 | $5,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 242 | $5,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 168 | $5,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 400 | $5,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 201 | $5,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 935 | $5,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 351 | $5,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 700 | $5,000 | thousands by filing date | |
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| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 187 | $5,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 513 | $5,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 300 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 70 | $5,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 3,500 | $5,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 1,000 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 271 | $5,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 202 | $5,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 199 | $5,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G108 | HORIZONS NASDAQ | 204 | $5,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 2,951 | $5,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 422 | $5,000 | thousands by filing date | |
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| INVACARE CORP | 461203101 | COMMON STOCK | 315 | $5,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 2,000 | $5,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 492 | $5,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 1,070 | $5,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 427 | $5,000 | thousands by filing date | |
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| TUESDAY MORNING CORP | 899035505 | COM NEW | 1,935 | $5,000 | thousands by filing date | |
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| RADISYS CORP | 750459109 | COM | 5,169 | $5,000 | thousands by filing date | |
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| SYNACOR INC | 871561106 | COM | 2,000 | $5,000 | thousands by filing date | |
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| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 232 | $5,000 | thousands by filing date | |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 2,000 | $5,000 | thousands by filing date | principal |
| TINTRI INC | 88770Q105 | COM | 1,070 | $5,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 2,000 | $5,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 104 | $4,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 100 | $4,000 | thousands by filing date | put |
| FRESHPET INC COM | 358039105 | Stock | 213 | $4,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 2,000 | $4,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 200 | $4,000 | thousands by filing date | |
| ISHARES TR MSCI UK ETF NEW | 46435G334 | MSCI UK ETF NEW | 100 | $4,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 85 | $4,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 44 | $4,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 114 | $4,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 229 | $4,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 216 | $4,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 100 | $4,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 50 | $4,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 82 | $4,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 197 | $4,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 231 | $4,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 176 | $4,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 532 | $4,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 276 | $4,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 100 | $4,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 55 | $4,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 375 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 126 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 100 | $4,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 100 | $4,000 | thousands by filing date | put |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 500 | $4,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 905 | $4,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 229 | $4,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 288 | $4,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 207 | $4,000 | thousands by filing date | |
| ISHARES DOW JONES UBS ROLL S | 45032K102 | SHS BEN INT | 120 | $4,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 1,123 | $4,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 164 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 200 | $4,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 267 | $4,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 154 | $4,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 800 | $4,000 | thousands by filing date | call |
| FTD COS INC | 30281V108 | COM | 580 | $4,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 385 | $4,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V307 | COM NEW | 2,000 | $4,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T217 | VLCTYSHS 3X S&P | 50 | $4,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 1,500 | $4,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 715 | $4,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605124 | SHS | 1,586 | $4,000 | thousands by filing date | |
| OMINTO INC | 68217C208 | COM NEW | 1,408 | $4,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 96 | $3,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 304 | $3,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 150 | $3,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 120 | $3,000 | thousands by filing date | call |
| SPOK HLDGS INC COM | 84863T106 | Stock | 207 | $3,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 196 | $3,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 112 | $3,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 95 | $3,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P607 | NUVEEN ESG SMLCP | 100 | $3,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 300 | $3,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 76 | $3,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 168 | $3,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 171 | $3,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 300 | $3,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 363 | $3,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 337 | $3,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 216 | $3,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 266 | $3,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 234 | $3,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 122 | $3,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 146 | $3,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 200 | $3,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 1,013 | $3,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 129 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 50 | $3,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 200 | $3,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 152 | $3,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 173 | $3,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 485 | $3,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 572 | $3,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 3,727 | $3,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 2,120 | $3,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 1,075 | $3,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 600 | $3,000 | thousands by filing date | put |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 249 | $3,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 2,600 | $3,000 | thousands by filing date | put |
| AQUA METALS INC | 03837J101 | COM | 1,692 | $3,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 300 | $3,000 | thousands by filing date | call |
| PARTY CITY HOLDCO INC | 702149105 | COM | 235 | $3,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 500 | $3,000 | thousands by filing date | call |
| BIOSCRIP INC | 09069N108 | COM | 987 | $3,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 1,000 | $3,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 1,000 | $3,000 | thousands by filing date | principal |
| FRED S INC CLASS A | 356108100 | COM | 670 | $3,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 63 | $3,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 181 | $3,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 264 | $3,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 293 | $3,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 100 | $3,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 450 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 244 | $3,000 | thousands by filing date | |
| LINIU TECHNOLOGY GROUP | G54971208 | SNC | 1,667 | $3,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 129 | $3,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BEAR 3X SHARES | 25490K745 | Common Stocks | 700 | $3,000 | thousands by filing date | put |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 4,607 | $3,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 1,332 | $3,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 283 | $3,000 | thousands by filing date | |
| EMERALD EXPOSITIONS EVENTS I | 29103B100 | COM | 155 | $3,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 280 | $3,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 118 | $3,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 2,000 | $3,000 | thousands by filing date | principal |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 700 | $2,000 | thousands by filing date | |
| CARVANA CO CL A | 146869102 | Stock | 121 | $2,000 | thousands by filing date | |
| SIMPLY GOOD FOODS CO COM | 82900L102 | Stock | 144 | $2,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 272 | $2,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 200 | $2,000 | thousands by filing date | call |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 200 | $2,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 44 | $2,000 | thousands by filing date | |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 1,000 | $2,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 300 | $2,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 207 | $2,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 788 | $2,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 146 | $2,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 90 | $2,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 189 | $2,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 117 | $2,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 700 | $2,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 724 | $2,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 122 | $2,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 188 | $2,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 118 | $2,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 740 | $2,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 227 | $2,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 2,000 | $2,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 160 | $2,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 500 | $2,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 199 | $2,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 2,070 | $2,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 261 | $2,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 165 | $2,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 376 | $2,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 109 | $2,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 434 | $2,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 301 | $2,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 307 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 57 | $2,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 133 | $2,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 500 | $2,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 300 | $2,000 | thousands by filing date | put |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 362 | $2,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 85 | $2,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 413 | $2,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 377 | $2,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 2,000 | $2,000 | thousands by filing date | principal |
| NEVSUN RES LTD | 64156L101 | COM | 821 | $2,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 246 | $2,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 30 | $2,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 156 | $2,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 290 | $2,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 282 | $2,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 242 | $2,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 90 | $2,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 30 | $2,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 25 | $2,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 109 | $2,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 262 | $2,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 200 | $2,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 1,000 | $2,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 81 | $2,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 364 | $2,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 719 | $2,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 232 | $2,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661502 | COM PAR | 443 | $2,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 2,000 | $2,000 | thousands by filing date | principal |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 129 | $2,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 199 | $2,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 500 | $2,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 1,110 | $2,000 | thousands by filing date | call |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 544 | $2,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 183 | $2,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 189 | $2,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 149 | $2,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 188 | $2,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 100 | $2,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 108 | $2,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 164 | $2,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 1,000 | $2,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 169 | $2,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 212 | $2,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628202 | COM NEW | 576 | $2,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 399 | $2,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G871 | VIRTUS CUMBRLAND | 79 | $2,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 765 | $1,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 100 | $1,000 | thousands by filing date | call |
| TASEKO MINES LTD COM | 876511106 | Stock | 584 | $1,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 32 | $1,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 100 | $1,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 15 | $1,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 11 | $1,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 75 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 23 | $1,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 50 | $1,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 70 | $1,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 109 | $1,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 22 | $1,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 135 | $1,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 52 | $1,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 104 | $1,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 59 | $1,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 100 | $1,000 | thousands by filing date | call |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 95 | $1,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 150 | $1,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 200 | $1,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 139 | $1,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 20 | $1,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 93 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 56 | $1,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 79 | $1,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 200 | $1,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 500 | $1,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 83 | $1,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 100 | $1,000 | thousands by filing date | put |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 266 | $1,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 41 | $1,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 227 | $1,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 176 | $1,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 549 | $1,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 126 | $1,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 121 | $1,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 365 | $1,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 370 | $1,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 427 | $1,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 279 | $1,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 200 | $1,000 | thousands by filing date | put |
| NEW YORK & CO INC | 649295102 | COM | 500 | $1,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 1,155 | $1,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 300 | $1,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 1,150 | $1,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 207 | $1,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 1,000 | $1,000 | 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 |