13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2018-03-31, filed 2018-05-11, with 7,598 holding rows worth $121,399,215,000.
- Accession
- 0000831001-18-000080
- Filer
- CIK 831001
- Filed
- 2018-05-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2018
A holdings report, 16,383 entries on the cover page, a total value of $121,399,215,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $121,399,215,000 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 managerCiticorp LLC028-11520
- 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 |
|---|---|---|---|---|---|---|
| CONMED CORP COM | 207410101 | Stock | 474 | $30,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 1,500 | $30,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 895 | $30,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 2,297 | $30,000 | thousands by filing date | |
| KAISER ALUMINUM CORP | 483007704 | COM PAR $0.01 | 294 | $30,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 4,878 | $30,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 2,126 | $30,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,997 | $30,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 2,083 | $30,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 2,400 | $30,000 | thousands by filing date | call |
| AVID TECHNOLOGY INC | 05367P100 | COM | 6,602 | $30,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 892 | $30,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 9,900 | $30,000 | thousands by filing date | |
| SYKES ENTERPRISES INC COM | 871237103 | Stock | 1,031 | $30,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 4,392 | $30,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 10,300 | $30,000 | thousands by filing date | put |
| PIER 1 IMPORTS INC | 720279108 | COM | 9,400 | $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 | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 4,000 | $30,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 1,000 | $30,000 | thousands by filing date | |
| PROSHARES TR II | 74347W163 | ULTRA VIX SHORT | 1,600 | $30,000 | thousands by filing date | put |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 8,884 | $30,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 4,858 | $29,000 | thousands by filing date | |
| COMMVAULT SYS INC COM | 204166102 | Stock | 500 | $29,000 | thousands by filing date | put |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 5,600 | $29,000 | thousands by filing date | put |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 6,200 | $29,000 | thousands by filing date | call |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 1,725 | $29,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 2,566 | $29,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 1,648 | $29,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 4,400 | $29,000 | thousands by filing date | call |
| VEREIT INC | 92339V100 | COM | 4,200 | $29,000 | thousands by filing date | put |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 9,600 | $29,000 | thousands by filing date | put |
| PETIQ INC | 71639T106 | COMMON STOCK | 1,111 | $29,000 | thousands by filing date | |
| Link Motion Inc | 53577L105 | COM | 17,701 | $29,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 1,625 | $29,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 10,100 | $29,000 | thousands by filing date | call |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 1,838 | $29,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 2,103 | $29,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 991 | $29,000 | thousands by filing date | |
| NIGHTSTAR THERAPEUTICS PLC | 65413A101 | ADR | 2,000 | $29,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 731 | $29,000 | thousands by filing date | |
| KINSALECAPGROUPINC | 49714P108 | STOK | 542 | $28,000 | thousands by filing date | |
| ACUITY INC COM | 00508Y102 | Stock | 200 | $28,000 | thousands by filing date | call |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 190 | $28,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 235 | $28,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 4,916 | $28,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 6,987 | $28,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 1,078 | $28,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 500 | $28,000 | thousands by filing date | put |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 2,304 | $28,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 6,000 | $28,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 4,573 | $28,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 5,400 | $28,000 | thousands by filing date | put |
| SIERRA WIRELESS INC | 826516106 | COM | 1,700 | $28,000 | thousands by filing date | put |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 733 | $28,000 | thousands by filing date | |
| LUTHER BURBANK CORP | 550550107 | COM | 2,356 | $28,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 2,431 | $28,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 263 | $28,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 715 | $28,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 9,626 | $28,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 1,000 | $28,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 2,409 | $28,000 | thousands by filing date | |
| COTIVITI HLDGS INC | 22164K101 | COM | 817 | $28,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 1,115 | $27,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 200 | $27,000 | thousands by filing date | call |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 3,602 | $27,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 2,038 | $27,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 839 | $27,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 448 | $27,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 3,098 | $27,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 1,950 | $27,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 3,238 | $27,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 14,700 | $27,000 | thousands by filing date | put |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 424 | $27,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 3,855 | $27,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 5,800 | $27,000 | thousands by filing date | put |
| VIRNETX HLDG CORP | 92823T108 | COM | 6,700 | $27,000 | thousands by filing date | put |
| 22ND CENTY GROUP INC | 90137F103 | COM | 12,700 | $27,000 | thousands by filing date | put |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 1,405 | $27,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 6,298 | $27,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 12,700 | $27,000 | thousands by filing date | call |
| BG STAFFING INC | 05544A109 | COM | 1,467 | $27,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 26,900 | $27,000 | thousands by filing date | put |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 2,400 | $27,000 | thousands by filing date | |
| ENERGY XXI GULF COAST INC | 29276K101 | COM | 7,052 | $27,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 5,200 | $27,000 | thousands by filing date | put |
| CORIUM INTL INC | 21887L107 | COM | 2,409 | $27,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 200 | $26,000 | thousands by filing date | call |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 392 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 541 | $26,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 600 | $26,000 | thousands by filing date | put |
| TELADOC HEALTH INC | 87918A105 | COM | 639 | $26,000 | thousands by filing date | |
| SENSATA TECHNOLOGIES HLDG PL | g8060n102 | SHS | 500 | $26,000 | thousands by filing date | put |
| ENERGY RECOVERY INC | 29270J100 | COM | 3,186 | $26,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 3,000 | $26,000 | thousands by filing date | |
| CONSOL ENERGY INC NEW | 20854L108 | COM | 880 | $26,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 1,079 | $26,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 917 | $26,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 1,454 | $26,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 8,358 | $26,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 1,100 | $26,000 | thousands by filing date | put |
| MESABI TR | 590672101 | CTF BEN INT | 1,000 | $26,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 495 | $26,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,000 | $26,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 3,619 | $26,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 522 | $26,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 2,306 | $26,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 7,790 | $26,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 1,000 | $26,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,449 | $26,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 907 | $26,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 3,231 | $26,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 1,000 | $26,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 240 | $25,000 | thousands by filing date | |
| BXP INC COM | 101121101 | REIT | 200 | $25,000 | thousands by filing date | put |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 1,229 | $25,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 500 | $25,000 | thousands by filing date | call |
| INVITAE CORP | 46185L103 | COM | 5,380 | $25,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 4,000 | $25,000 | thousands by filing date | call |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 3,700 | $25,000 | thousands by filing date | put |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 994 | $25,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 3,800 | $25,000 | thousands by filing date | put |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 1,514 | $25,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 589 | $25,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 657 | $25,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 2,923 | $25,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P200 | ST STR TOTAL ETF | 500 | $25,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 767 | $25,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 490 | $25,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 1,000 | $25,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 1,000 | $25,000 | thousands by filing date | call |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 696 | $25,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 2,600 | $25,000 | thousands by filing date | put |
| DASEKE INC | 23753F107 | COM | 2,599 | $25,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 3,297 | $25,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 8,500 | $25,000 | thousands by filing date | put |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 6,100 | $25,000 | thousands by filing date | call |
| EVOGENE LTD | M4119S104 | SHS | 7,976 | $25,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 1,926 | $25,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 23,598 | $25,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 1,999 | $25,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 340 | $24,000 | thousands by filing date | |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 490 | $24,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 2,851 | $24,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 1,566 | $24,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 561 | $24,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 1,185 | $24,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 369 | $24,000 | thousands by filing date | |
| SANDERSON FARMS | 800013104 | COM | 200 | $24,000 | thousands by filing date | put |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 1,489 | $24,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 3,500 | $24,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 1,118 | $24,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 1,000 | $24,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 3,300 | $24,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 354 | $24,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 282 | $24,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 884 | $24,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 1,658 | $24,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 2,431 | $24,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 947 | $24,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 22,981 | $24,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 1,516 | $24,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 2,126 | $24,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 1,127 | $24,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 212 | $23,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 1,463 | $23,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 467 | $23,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 358 | $23,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 3,922 | $23,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 1,095 | $23,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 14,615 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 1,000 | $23,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 505 | $23,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 3,509 | $23,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 1,548 | $23,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 4,203 | $23,000 | thousands by filing date | |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 2,100 | $23,000 | thousands by filing date | call |
| DECIPHERA PHARMACEUTICALS IN | 24344T101 | COM | 1,128 | $23,000 | thousands by filing date | |
| Link Motion Inc | 53577L105 | COM | 14,100 | $23,000 | thousands by filing date | put |
| Link Motion Inc | 53577L105 | COM | 13,900 | $23,000 | thousands by filing date | call |
| Reality Shares Nasdaq NexGen Economy ETF | 75605A702 | COM | 1,025 | $23,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AH7 | NOTE 2.250% 2/1 | 19,000 | $23,000 | thousands by filing date | principal |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 11,235 | $23,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES LTD | 57778L103 | COM | 491 | $23,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 13,400 | $23,000 | thousands by filing date | put |
| HC2 HLDGS INC | 404139107 | COM | 4,359 | $23,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 700 | $23,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 8,100 | $22,000 | thousands by filing date | |
| ASBURY AUTOMOTIVE GROUP INC COM | 043436104 | Stock | 323 | $22,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 2,200 | $22,000 | thousands by filing date | put |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 1,613 | $22,000 | thousands by filing date | |
| FIRST FINL BANKSHARES INC COM | 32020R109 | Stock | 485 | $22,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 252 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 900 | $22,000 | thousands by filing date | put |
| VISTEON CORP | 92839U206 | COM NEW | 200 | $22,000 | thousands by filing date | call |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 1,800 | $22,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 776 | $22,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 4,664 | $22,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 1,098 | $22,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 265 | $22,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 2,170 | $22,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 2,529 | $22,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 600 | $22,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 5,893 | $22,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 3,049 | $22,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 1,129 | $22,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 6,057 | $22,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 358 | $22,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 28,000 | $22,000 | thousands by filing date | principal |
| CYTRX CORP | 232828608 | COM PAR | 13,600 | $22,000 | thousands by filing date | call |
| AMBER ROAD INC | 02318Y108 | COM | 2,512 | $22,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 1,400 | $22,000 | thousands by filing date | call |
| Armo Biosciences Inc | 04225U104 | COM | 586 | $22,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 3,055 | $21,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 238 | $21,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 316 | $21,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 2,403 | $21,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 1,660 | $21,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 696 | $21,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 1,041 | $21,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,715 | $21,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 2,180 | $21,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 3,702 | $21,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 6,000 | $21,000 | thousands by filing date | principal |
| TRUECAR INC | 89785L107 | COM | 2,175 | $21,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 4,935 | $21,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 1,263 | $21,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 1,600 | $21,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 3,790 | $21,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 14,811 | $21,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 4,058 | $21,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 6,268 | $21,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 1,155 | $20,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 1,000 | $20,000 | thousands by filing date | put |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 1,179 | $20,000 | thousands by filing date | |
| MARZETTI COMPANY | 513847103 | COM | 159 | $20,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 900 | $20,000 | thousands by filing date | put |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 2,100 | $20,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 2,140 | $20,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 797 | $20,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,802 | $20,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 1,784 | $20,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 1,000 | $20,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 897 | $20,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 853 | $20,000 | thousands by filing date | |
| AMERICAN NATL INS | 028591105 | COMMON STOCK | 173 | $20,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 15,082 | $20,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 4,883 | $20,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 261 | $20,000 | thousands by filing date | |
| SMART GLOBAL HLDGS INC | G8232Y101 | COM | 393 | $20,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $20,000 | thousands by filing date | principal |
| TIDEWATER INC NEW | 88642R117 | WARR | 5,664 | $20,000 | thousands by filing date | call |
| APPROACH RESOURCES INC | 03834A103 | COM | 7,410 | $20,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 2,850 | $20,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 1,245 | $20,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 750 | $19,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 269 | $19,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 9,500 | $19,000 | thousands by filing date | call |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 300 | $19,000 | thousands by filing date | put |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 141 | $19,000 | thousands by filing date | |
| BALCHEM CORP | 057665200 | COM | 235 | $19,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 15 | $19,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 651 | $19,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 2,900 | $19,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 1,500 | $19,000 | thousands by filing date | |
| WELBILT INC | 949090104 | COM | 1,000 | $19,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 1,000 | $19,000 | thousands by filing date | put |
| FULTON FINL CORP PA | 360271100 | COM | 1,065 | $19,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X101 | COM | 200 | $19,000 | thousands by filing date | put |
| STRATUS PPTYS INC | 863167201 | COM NEW | 622 | $19,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 2,423 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 890 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 251 | $19,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 2,500 | $19,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 403 | $19,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 3,100 | $19,000 | thousands by filing date | put |
| MOBILE MINI INC | 60740F105 | COM | 449 | $19,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 1,300 | $19,000 | thousands by filing date | put |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 1,441 | $19,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 9,200 | $19,000 | thousands by filing date | call |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 4,119 | $19,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 370 | $19,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 520 | $19,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 1,400 | $19,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 5,269 | $19,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 890 | $19,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 5,581 | $19,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 3,686 | $18,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 1,497 | $18,000 | thousands by filing date | |
| DROPBOX INC CL A | 26210C104 | Stock | 564 | $18,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 3,122 | $18,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 608 | $18,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 3,366 | $18,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 1,021 | $18,000 | thousands by filing date | |
| SENSIENT TECHNOLOGIES CORP | 81725T100 | COM | 258 | $18,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 3,321 | $18,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 870 | $18,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 1,761 | $18,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 1,400 | $18,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 1,531 | $18,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 805 | $18,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 728 | $18,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 1,500 | $18,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 1,738 | $18,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 1,345 | $18,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 1,399 | $18,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 5,000 | $18,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 410 | $18,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 400 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 856 | $18,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,210 | $18,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q835 | INTL CORP BOND | 631 | $18,000 | thousands by filing date | |
| MB FINANCIAL INC | 55264U108 | COMMON STOCK | 453 | $18,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 1,000 | $18,000 | thousands by filing date | put |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 28,273 | $18,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 978 | $18,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 2,523 | $18,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 10,670 | $18,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 3,910 | $18,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 6,500 | $18,000 | thousands by filing date | call |
| CELLECT BIOTECHNOLOGY LTD | 15116C110 | *W EXP 08/03/202 | 9,000 | $18,000 | thousands by filing date | call |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 1,995 | $17,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 1,367 | $17,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 624 | $17,000 | thousands by filing date | |
| UMB FINL CORP | 902788108 | COM | 234 | $17,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 1,000 | $17,000 | thousands by filing date | call |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 1,547 | $17,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 1,500 | $17,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 1,000 | $17,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,050 | $17,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 1,288 | $17,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 2,260 | $17,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 1,000 | $17,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 1,600 | $17,000 | thousands by filing date | call |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 27,037 | $17,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 24,107 | $17,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 5,463 | $17,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 601 | $17,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 5,431 | $17,000 | thousands by filing date | call |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 955 | $17,000 | thousands by filing date | call |
| ELEVATE CREDIT INC | 28621V101 | COM | 2,387 | $17,000 | thousands by filing date | |
| AQUANTIA CORP | 03842Q108 | COM | 1,047 | $17,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 13,041 | $17,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 1,596 | $17,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 5,253 | $17,000 | thousands by filing date | |
| EMERALD EXPOSITIONS EVENTS I | 29103B100 | COM | 841 | $17,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 2,331 | $17,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 1,842 | $17,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 5,971 | $16,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 282 | $16,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 269 | $16,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 1,000 | $16,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 1,277 | $16,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 2,467 | $16,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 803 | $16,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 871 | $16,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 906 | $16,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 3,698 | $16,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,127 | $16,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 629 | $16,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 908 | $16,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 704 | $16,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 981 | $16,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 900 | $16,000 | thousands by filing date | call |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 1,335 | $16,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 4,072 | $16,000 | thousands by filing date | |
| FINANCIAL ENGINES INC | 317485100 | COM | 454 | $16,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 2,062 | $16,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 2,867 | $16,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 1,401 | $16,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 570 | $16,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 650 | $16,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 9,999 | $16,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 982 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 286 | $15,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 1,800 | $15,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 150 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 200 | $15,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 1,969 | $15,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 235 | $15,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 875 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 509 | $15,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 1,414 | $15,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 710 | $15,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,090 | $15,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 592 | $15,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 1,688 | $15,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 2,405 | $15,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 1,400 | $15,000 | thousands by filing date | call |
| GLOBALSTAR INC | 378973408 | COM | 20,500 | $15,000 | thousands by filing date | call |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 6,880 | $15,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 1,892 | $15,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 1,000 | $15,000 | thousands by filing date | put |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 78,889 | $15,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 2,100 | $15,000 | thousands by filing date | put |
| INTELSAT S A | L5140P101 | COM | 3,937 | $15,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 1,100 | $15,000 | thousands by filing date | put |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 40,800 | $15,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M522 | GUG BULL2019 E | 700 | $15,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 2,880 | $15,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 17,000 | $15,000 | thousands by filing date | principal |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 201 | $14,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 3,000 | $14,000 | thousands by filing date | put |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 2,900 | $14,000 | thousands by filing date | call |
| RAYONIER INC COM | 754907103 | REIT | 400 | $14,000 | thousands by filing date | call |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 1,500 | $14,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 250 | $14,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 288 | $14,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 1,300 | $14,000 | thousands by filing date | put |
| TRUPANION INC | 898202106 | COM | 456 | $14,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 1,100 | $14,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 1,445 | $14,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,815 | $14,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 1,654 | $14,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 464 | $14,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 2,886 | $14,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 2,516 | $14,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 386 | $14,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 981 | $14,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 716 | $14,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 15,213 | $14,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 633 | $14,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 38,300 | $14,000 | thousands by filing date | call |
| OLD POINT FINL CORP | 680194107 | COM | 526 | $14,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 355 | $14,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 8,100 | $14,000 | thousands by filing date | put |
| RUBICON PROJ INC | 78112V102 | COM | 8,248 | $14,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 8,300 | $14,000 | thousands by filing date | |
| Arsanis Inc | 042873109 | COM | 611 | $14,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 6,746 | $14,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 363 | $13,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 500 | $13,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 1,578 | $13,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 4,700 | $13,000 | thousands by filing date | call |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 810 | $13,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 100 | $13,000 | thousands by filing date | call |
| ALICO INC | 016230104 | COM | 464 | $13,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 1,045 | $13,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 800 | $13,000 | thousands by filing date | call |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 2,068 | $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 | |
| THE STARS GROUP INC | 85570W100 | COMMON STOCK-FO | 476 | $13,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 3,159 | $13,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 1,246 | $13,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 672 | $13,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 1,747 | $13,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 1,303 | $13,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 500 | $13,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 1,100 | $13,000 | thousands by filing date | put |
| POWERSHARES ETF TR II S&P SMCP | 73937B860 | ETF - EQUITY | 165 | $13,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 1,500 | $13,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 750 | $13,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 275 | $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 | |
| CBTX INC | 12481V104 | COM | 457 | $13,000 | thousands by filing date | |
| Invesco Wilderhill Clean Energy ETF | 73935x112 | COM | 513 | $13,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 11,000 | $13,000 | thousands by filing date | principal |
| CITRIX SYS INC | 177376AD2 | NOTE 0.500% 4/1 | 10,000 | $13,000 | thousands by filing date | principal |
| CONFORMIS INC | 20717E101 | COM | 8,909 | $13,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 1,900 | $13,000 | thousands by filing date | call |
| RESTORBIO INC | 76133L103 | COM | 1,375 | $13,000 | thousands by filing date | |
| GAFISA S A | 362607400 | UNSPONSORED ADR | 2,029 | $13,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 91 | $12,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 644 | $12,000 | thousands by filing date | |
| BXP INC COM | 101121101 | REIT | 100 | $12,000 | thousands by filing date | call |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 800 | $12,000 | thousands by filing date | put |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 400 | $12,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 800 | $12,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 175 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 1,016 | $12,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 600 | $12,000 | thousands by filing date | put |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 1,950 | $12,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 2,000 | $12,000 | thousands by filing date | put |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 690 | $12,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 500 | $12,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 435 | $12,000 | thousands by filing date | |
| CARDLYTICS INC | 14161W105 | COM | 846 | $12,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 201 | $12,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 3,959 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 312 | $12,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 728 | $12,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 838 | $12,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 900 | $12,000 | thousands by filing date | put |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 2,400 | $12,000 | thousands by filing date | put |
| ITERIS INC NEW | 46564T107 | COM | 2,333 | $12,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 918 | $12,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 258 | $12,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 13,000 | $12,000 | thousands by filing date | principal |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 1,453 | $12,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 1,107 | $12,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 4,144 | $12,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 8,390 | $12,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 3,202 | $12,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 11,400 | $12,000 | thousands by filing date | call |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 721 | $12,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 241 | $12,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 981 | $12,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 22,500 | $12,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-18-000080 | this filing | 2018-05-11 | acceptance time not in the bulk data set |