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 |
|---|---|---|---|---|---|---|
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 11,000 | $12,000 | thousands by filing date | principal |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 330 | $11,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 3,383 | $11,000 | thousands by filing date | |
| CAVCO INDS INC DEL | 149568107 | COM | 61 | $11,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 226 | $11,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 156 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 359 | $11,000 | thousands by filing date | |
| OCEANEERING INTL INC | 675232102 | COM | 600 | $11,000 | thousands by filing date | call |
| GENIE ENERGY LTD | 372284208 | CL B | 2,349 | $11,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 670 | $11,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 1,000 | $11,000 | thousands by filing date | put |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 1,000 | $11,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 277 | $11,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 9,625 | $11,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 123 | $11,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 2,664 | $11,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 1,830 | $11,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 626 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 270 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 450 | $11,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 802 | $11,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 411 | $11,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 2,300 | $11,000 | thousands by filing date | call |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 1,711 | $11,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 5,700 | $11,000 | thousands by filing date | put |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 1,000 | $11,000 | thousands by filing date | put |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 344 | $11,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 2,652 | $11,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 1,426 | $11,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 2,272 | $11,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 656 | $11,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 17,529 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 400 | $11,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 6,000 | $11,000 | thousands by filing date | put |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 1,040 | $11,000 | thousands by filing date | |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 155 | $11,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 3,171 | $11,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 2,225 | $11,000 | thousands by filing date | |
| EZCORP INC | 302301AB2 | NOTE 2.125% 6/1 | 10,000 | $11,000 | thousands by filing date | principal |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 1,703 | $11,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 201 | $10,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 1,442 | $10,000 | thousands by filing date | |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 605 | $10,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 1,301 | $10,000 | thousands by filing date | |
| LCI INDS | 50189K103 | COM | 100 | $10,000 | thousands by filing date | call |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 200 | $10,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 200 | $10,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 500 | $10,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 2,525 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 400 | $10,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 360 | $10,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 1,522 | $10,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 1,212 | $10,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 274 | $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 | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 1,000 | $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 | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 637 | $10,000 | thousands by filing date | |
| TRITON INTL LTD | G9078F107 | CL A | 341 | $10,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 1,605 | $10,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 7,200 | $10,000 | thousands by filing date | put |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 1,200 | $10,000 | thousands by filing date | call |
| SENOMYX INC | 81724Q107 | COM | 11,300 | $10,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 900 | $10,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODS HLDGS I | G21515104 | COM | 122 | $10,000 | thousands by filing date | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 400 | $10,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 3,600 | $10,000 | thousands by filing date | put |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 200 | $10,000 | thousands by filing date | |
| PROSHARES TR ULTPRO SHT 2017 | 74348A152 | CEF | 319 | $10,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 301 | $9,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 2,000 | $9,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 300 | $9,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 144 | $9,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 252 | $9,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 876 | $9,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 414 | $9,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 142 | $9,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 701 | $9,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 185 | $9,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 385 | $9,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 600 | $9,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 613 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 204 | $9,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 200 | $9,000 | thousands by filing date | |
| 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 | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 1,000 | $9,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,028 | $9,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 644 | $9,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 700 | $9,000 | thousands by filing date | put |
| Castle Brands Inc | 148435100 | COM | 7,936 | $9,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 325 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 250 | $9,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 1,352 | $9,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 884 | $9,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 1,483 | $9,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 544 | $9,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 11,506 | $9,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 3,806 | $9,000 | thousands by filing date | |
| U S GEOTHERMAL INC COM NEW | 90338S201 | Stock | 1,666 | $9,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 400 | $8,000 | thousands by filing date | put |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 800 | $8,000 | thousands by filing date | call |
| SERVICE CORP INTL COM | 817565104 | Stock | 200 | $8,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 3,300 | $8,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 924 | $8,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 1,492 | $8,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 1,500 | $8,000 | thousands by filing date | put |
| EVOLUS INC | 30052C107 | COM | 869 | $8,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 400 | $8,000 | thousands by filing date | call |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 358 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 222 | $8,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 100 | $8,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 406 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 200 | $8,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 500 | $8,000 | thousands by filing date | |
| LONGFIN CORP CLASS A | 54304F106 | COMMON STOCK | 452 | $8,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 1,105 | $8,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 3,028 | $8,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 225 | $8,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 683 | $8,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 15,967 | $8,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 5,796 | $8,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 977 | $8,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 3,975 | $8,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 713 | $8,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 39,243 | $8,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 1,400 | $7,000 | thousands by filing date | call |
| AECOM COM | 00766T100 | Stock | 200 | $7,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 344 | $7,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 302 | $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 | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 800 | $7,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 600 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 125 | $7,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 160 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 300 | $7,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 589 | $7,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 249 | $7,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 1,700 | $7,000 | thousands by filing date | put |
| REDFIN CORP | 75737F108 | COM | 300 | $7,000 | thousands by filing date | |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 300 | $7,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 1,032 | $7,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 1,533 | $7,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 1,981 | $7,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 2,860 | $7,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 3,200 | $7,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 1,007 | $7,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 4,000 | $7,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 290 | $7,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 4,424 | $7,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 1,000 | $7,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 4,045 | $7,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 7,000 | $7,000 | thousands by filing date | principal |
| Cannae Holdings, Inc. | 13765N107 | Common Stock, $0.0001 par value | 330 | $6,000 | thousands by filing date | |
| ROBERT HALF INC. COM | 770323103 | Stock | 100 | $6,000 | thousands by filing date | put |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 1,000 | $6,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 100 | $6,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 992 | $6,000 | thousands by filing date | |
| WARRIOR MET COAL INC | 93627C101 | COM | 219 | $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 | 401 | $6,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 394 | $6,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 209 | $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 | |
| 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 | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 1,550 | $6,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 842 | $6,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 145 | $6,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 6,000 | $6,000 | thousands by filing date | principal |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 7,200 | $6,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 151 | $6,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 413 | $6,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 1,600 | $6,000 | thousands by filing date | put |
| LUNA INNOVATIONS INC | 550351100 | COM | 2,000 | $6,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 310 | $6,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 250 | $6,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 900 | $6,000 | thousands by filing date | call |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $6,000 | thousands by filing date | call |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 470 | $6,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 92 | $6,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 910 | $6,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 500 | $6,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 483 | $6,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 1,000 | $5,000 | thousands by filing date | call |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 35 | $5,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 292 | $5,000 | thousands by filing date | |
| TORM PLC SHS CL A | G89479102 | Stock | 665 | $5,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 185 | $5,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 666 | $5,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 143 | $5,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 375 | $5,000 | thousands by filing date | |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 285 | $5,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 229 | $5,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 200 | $5,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 100 | $5,000 | thousands by filing date | |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 1,000 | $5,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 500 | $5,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 300 | $5,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 400 | $5,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 100 | $5,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 864 | $5,000 | thousands by filing date | |
| TERRAFORM PWR INC | 88104R209 | COM CL A | 493 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 584 | $5,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 218 | $5,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 300 | $5,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 359 | $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 | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 47 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 437 | $5,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 199 | $5,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 3,600 | $5,000 | thousands by filing date | put |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 430 | $5,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 400 | $5,000 | thousands by filing date | put |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 12,072 | $5,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 427 | $5,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 4,000 | $5,000 | thousands by filing date | call |
| ZOES KITCHEN INC | 98979J109 | COM | 358 | $5,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 207 | $5,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 1,835 | $5,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 1,313 | $5,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M104 | INT COM SER A | 200 | $5,000 | thousands by filing date | call |
| DDR CORP | 23317H102 | COM | 700 | $5,000 | thousands by filing date | call |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 1,900 | $5,000 | thousands by filing date | put |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 350 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W463 | JAPAN HDG FINL | 200 | $5,000 | thousands by filing date | |
| BulletShares 2024 Corporate | 18383M233 | COM | 250 | $5,000 | thousands by filing date | |
| OMINTO INC | 68217C208 | COM NEW | 1,793 | $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 | |
| LAUREATE ED INC COMMON STOCK | 518613203 | Stock | 284 | $4,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 109 | $4,000 | thousands by filing date | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 288 | $4,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 105 | $4,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 1,846 | $4,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 2,000 | $4,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 414 | $4,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 200 | $4,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 85 | $4,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 44 | $4,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 114 | $4,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 202 | $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 | |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 100 | $4,000 | thousands by filing date | put |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 162 | $4,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 935 | $4,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 243 | $4,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 415 | $4,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 617 | $4,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 263 | $4,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 485 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 100 | $4,000 | thousands by filing date | put |
| 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 | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 500 | $4,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 152 | $4,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 203 | $4,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 100 | $4,000 | thousands by filing date | put |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 267 | $4,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 350 | $4,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 96 | $4,000 | thousands by filing date | |
| ISHARES DOW JONES UBS ROLL S | 45032K102 | SHS BEN INT | 120 | $4,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 512 | $4,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 200 | $4,000 | thousands by filing date | call |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 26,454 | $4,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 300 | $4,000 | thousands by filing date | call |
| RADISYS CORP | 750459109 | COM | 5,948 | $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 | |
| AK STL CORP | 001546AP5 | NOTE 5.000%11/1 | 3,000 | $4,000 | thousands by filing date | principal |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 152 | $4,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 600 | $4,000 | thousands by filing date | put |
| STEEL CONNECT INC | 858098106 | CMN | 2,000 | $4,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605124 | SHS | 1,586 | $4,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 134 | $3,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 700 | $3,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 100 | $3,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 500 | $3,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 203 | $3,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 112 | $3,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 300 | $3,000 | thousands by filing date | |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 146 | $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 | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 127 | $3,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 500 | $3,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 300 | $3,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 87 | $3,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 208 | $3,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 268 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R811 | NASDQ SEMCNDTR | 100 | $3,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 280 | $3,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 500 | $3,000 | thousands by filing date | call |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 60 | $3,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 2,000 | $3,000 | thousands by filing date | call |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 278 | $3,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 144 | $3,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 80 | $3,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 181 | $3,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 700 | $3,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 1,013 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 50 | $3,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 300 | $3,000 | thousands by filing date | |
| REV Group Inc | 749527107 | Common Stock | 156 | $3,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 2,000 | $3,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 572 | $3,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 400 | $3,000 | thousands by filing date | put |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 282 | $3,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 199 | $3,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 394 | $3,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 130 | $3,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 65 | $3,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 1,123 | $3,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 1,000 | $3,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 288 | $3,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 723 | $3,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 386 | $3,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 1,000 | $3,000 | thousands by filing date | principal |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 2,075 | $3,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $3,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 100 | $3,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 330 | $3,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 450 | $3,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 200 | $3,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 6,200 | $3,000 | thousands by filing date | put |
| APPTIO INC | 03835C108 | CL A | 96 | $3,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 710 | $3,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 801 | $3,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 1,200 | $3,000 | thousands by filing date | put |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 385 | $3,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 125 | $3,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 280 | $3,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 2,490 | $3,000 | thousands by filing date | |
| TINTRI INC | 88770Q105 | COM | 1,929 | $3,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 97 | $2,000 | thousands by filing date | |
| CARVANA CO CL A | 146869102 | Stock | 74 | $2,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 2,522 | $2,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 958 | $2,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 119 | $2,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 60 | $2,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 127 | $2,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 103 | $2,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 174 | $2,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 100 | $2,000 | thousands by filing date | put |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 60 | $2,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 44 | $2,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 137 | $2,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 108 | $2,000 | thousands by filing date | |
| ICHOR HOLDINGS | G4740B105 | SHS | 94 | $2,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 300 | $2,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 207 | $2,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 292 | $2,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 300 | $2,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 37 | $2,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 128 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 92 | $2,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 200 | $2,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 90 | $2,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 84 | $2,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 200 | $2,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 100 | $2,000 | thousands by filing date | call |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 52 | $2,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 27 | $2,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 319 | $2,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 200 | $2,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 1,000 | $2,000 | thousands by filing date | put |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 1,000 | $2,000 | thousands by filing date | call |
| SENSEONICS HLDGS INC | 81727U105 | COM | 740 | $2,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 127 | $2,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 200 | $2,000 | thousands by filing date | put |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 500 | $2,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 2,526 | $2,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 316 | $2,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 139 | $2,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 100 | $2,000 | thousands by filing date | call |
| AMYRIS INC | 03236M200 | COM NEW | 365 | $2,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 800 | $2,000 | thousands by filing date | call |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 60 | $2,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 85 | $2,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 1,000 | $2,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 249 | $2,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 2,000 | $2,000 | thousands by filing date | principal |
| NEW YORK & CO INC | 649295102 | COM | 500 | $2,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 25 | $2,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 600 | $2,000 | thousands by filing date | call |
| YRC WORLDWIDE INC | 984249607 | COM | 269 | $2,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 800 | $2,000 | thousands by filing date | call |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 30 | $2,000 | thousands by filing date | |
| LINIU TECHNOLOGY GROUP | G54971208 | SNC | 1,667 | $2,000 | thousands by filing date | |
| ORAGENICS INC | 684023302 | COM PAR | 808 | $2,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 54 | $2,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 54 | $2,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 231 | $2,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 577 | $2,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 700 | $2,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 750 | $2,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 1,332 | $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 |
| MOLINA HEALTHCARE INC | 60855RAC4 | NOTE 1.125% 1/1 | 1,000 | $2,000 | thousands by filing date | principal |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 112 | $2,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T100 | COM | 607 | $2,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T100 | COM | 489 | $2,000 | thousands by filing date | call |
| RENREN INC | 759892201 | SPON ADR A NEW | 200 | $2,000 | thousands by filing date | |
| DITECH HLDG CORP | 25501G105 | COM | 267 | $2,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 1,000 | $2,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628202 | COM NEW | 576 | $2,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G871 | VIRTUS CUMBRLAND | 79 | $2,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 1,000 | $2,000 | thousands by filing date | principal |
| EXCHANGE TRADED CONCEPTS TR | 301505830 | REX VOLMAX SHORT | 600 | $2,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 100 | $1,000 | thousands by filing date | put |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 500 | $1,000 | thousands by filing date | put |
| CLEAN HARBORS INC COM | 184496107 | Stock | 23 | $1,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 32 | $1,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 11 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 23 | $1,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 95 | $1,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 109 | $1,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 70 | $1,000 | thousands by filing date | |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 75 | $1,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | G9001E102 | COM CL A | 45 | $1,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 100 | $1,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 22 | $1,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 138 | $1,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 110 | $1,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 200 | $1,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 30 | $1,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 104 | $1,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 507 | $1,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 44 | $1,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 117 | $1,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 700 | $1,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 105 | $1,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 423 | $1,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 150 | $1,000 | thousands by filing date | |
| ISHARES TR | 46435G417 | CR 5 10 YR ETF | 29 | $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 | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 267 | $1,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 122 | $1,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 83 | $1,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 48 | $1,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 200 | $1,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 111 | $1,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 500 | $1,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 200 | $1,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 100 | $1,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 56 | $1,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 85 | $1,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 34 | $1,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 79 | $1,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 103 | $1,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 93 | $1,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 443 | $1,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 2,120 | $1,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 157 | $1,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 2,000 | $1,000 | thousands by filing date | put |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 2,200 | $1,000 | thousands by filing date | put |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 9 | $1,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 262 | $1,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 100 | $1,000 | thousands by filing date | put |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 100 | $1,000 | thousands by filing date | put |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 133 | $1,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 370 | $1,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 600 | $1,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 1,495 | $1,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 262 | $1,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 184 | $1,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 30 | $1,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 1,000 | $1,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 41 | $1,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 92 | $1,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 112 | $1,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 61 | $1,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 169 | $1,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 1,040 | $1,000 | thousands by filing date | |
| AMTRUST FINANCIAL SERVICES I | 032359AC5 | NOTE 5.500%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| MICRONET ENERTEC TECH | 595117102 | COMMON | 1,000 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 51 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 107 | $1,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 73 | $1,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 1,000 | $1,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 1,500 | $1,000 | thousands by filing date | call |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 178 | $1,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 600 | $1,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 900 | $1,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 800 | $1,000 | thousands by filing date | call |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 1,000 | $1,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 80 | $1,000 | thousands by filing date |
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 |