13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2018-06-30, filed 2018-08-10, with 7,667 holding rows worth $108,814,441,000.
- Accession
- 0000831001-18-000126
- Filer
- CIK 831001
- Filed
- 2018-08-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2018
A holdings report, 15,924 entries on the cover page, a total value of $108,814,441,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $108,814,441,000 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 managerCiti GSCP Inc.028-16164
- included managerCiti Overseas Investments Bahamas Inc.028-10818
- included managerCITIBANAMEX CASA DE BOLSA, S.A. DE C.V., CASA DE BOLSA, INTEGRANTE DEL GRUPO FINANCIERO CITIBANAMEX028-10815
- 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 FONDOS DE INVERSION, INTEGRANTE DEL GRUPO FINANCIERO BANAMEX028-10822
- 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 |
|---|---|---|---|---|---|---|
| SPARK ENERGY INC | 846511103 | CL A COM | 1,706 | $17,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 1,027 | $17,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 1,005 | $17,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 3,500 | $17,000 | thousands by filing date | call |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 1,411 | $17,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 1,063 | $17,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $17,000 | thousands by filing date | principal |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 1,044 | $17,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 1,453 | $17,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 600 | $17,000 | thousands by filing date | call |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 650 | $17,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 3,153 | $17,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 300 | $16,000 | thousands by filing date | put |
| ISHARES TR | 46435G102 | CONV BD ETF | 282 | $16,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 299 | $16,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 2,000 | $16,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 4,261 | $16,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 300 | $16,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 200 | $16,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 300 | $16,000 | thousands by filing date | |
| INVESCO INTERNATIONAL CORPORAT | 46138E636 | INTL CORP BD | 631 | $16,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 1,000 | $16,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 871 | $16,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 1,100 | $16,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,706 | $16,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 1,600 | $16,000 | thousands by filing date | |
| HUYA INC ADS EACH REP 1 ORD SHS CL A | 44852D108 | COM | 488 | $16,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 1,018 | $16,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 450 | $16,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,090 | $16,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,210 | $16,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 1,300 | $16,000 | thousands by filing date | put |
| DONNELLEY R R & SONS CO | 257867200 | COM | 2,700 | $16,000 | thousands by filing date | call |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 1,737 | $16,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 5,700 | $16,000 | thousands by filing date | put |
| Castle Brands Inc | 148435100 | COM | 13,062 | $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 | |
| OPHTHOTECH CORP | 683745103 | COM | 6,000 | $16,000 | thousands by filing date | call |
| NIGHTSTAR THERAPEUTICS PLC | 65413A101 | ADR | 1,000 | $16,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 17,000 | $16,000 | thousands by filing date | principal |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 201 | $15,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 3,282 | $15,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 1,229 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 500 | $15,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 2,250 | $15,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 1,203 | $15,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 2,467 | $15,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 5,000 | $15,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 1,921 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 650 | $15,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 1,848 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 197 | $15,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 386 | $15,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 1,123 | $15,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 1,632 | $15,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 1,579 | $15,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAB7 | NOTE 2.000%12/0 | 12,000 | $15,000 | thousands by filing date | principal |
| TIDEWATER INC NEW | 88642R125 | WARR | 5,431 | $15,000 | thousands by filing date | call |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 4,892 | $15,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 2,095 | $15,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 1,250 | $15,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J304 | BULSHS 2019 CB | 700 | $15,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 3,916 | $15,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 1,232 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 289 | $14,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 288 | $14,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 3,000 | $14,000 | thousands by filing date | put |
| ONESPAN INC | 68287N100 | COM | 700 | $14,000 | thousands by filing date | call |
| SENSATA TECHNOLOGIES HLDG PL | g8060n102 | SHS | 300 | $14,000 | thousands by filing date | call |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 1,000 | $14,000 | thousands by filing date | put |
| FERROGLOBE PLC | G33856108 | SHS | 1,590 | $14,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 1,100 | $14,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 998 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 279 | $14,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 2,503 | $14,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 7,200 | $14,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 5,666 | $14,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 800 | $14,000 | thousands by filing date | put |
| SEASPAN CORP | Y75638109 | SHS | 1,352 | $14,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 11,300 | $14,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 20,000 | $14,000 | thousands by filing date | call |
| GSV CAPITAL CORP | 36191J101 | COM | 2,062 | $14,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 1,576 | $14,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338PAB6 | NOTE 4.000% 7/1 | 14,000 | $14,000 | thousands by filing date | principal |
| SPDR Portfolio 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 | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 103 | $13,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 122 | $13,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 100 | $13,000 | thousands by filing date | put |
| ROBERT HALF INC. COM | 770323103 | Stock | 200 | $13,000 | thousands by filing date | put |
| ACM RESH INC COM CL A | 00108J109 | Stock | 1,167 | $13,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 500 | $13,000 | thousands by filing date | put |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 897 | $13,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 514 | $13,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 2,000 | $13,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 139 | $13,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 987 | $13,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 7,000 | $13,000 | thousands by filing date | put |
| Fluent Co | 34380C102 | COM | 5,461 | $13,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 1,624 | $13,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 1,900 | $13,000 | thousands by filing date | call |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 1,000 | $13,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 500 | $13,000 | thousands by filing date | put |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 384 | $13,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 3,750 | $13,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 14,000 | $13,000 | thousands by filing date | principal |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 91 | $12,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 330 | $12,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 2,717 | $12,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 400 | $12,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 139 | $12,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 2,100 | $12,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 670 | $12,000 | thousands by filing date | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 852 | $12,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 271 | $12,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 1,453 | $12,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 500 | $12,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 650 | $12,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 259 | $12,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 1,251 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 270 | $12,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 411 | $12,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 688 | $12,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 1,828 | $12,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 363 | $12,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 3,416 | $12,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 750 | $12,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 241 | $12,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 8,600 | $12,000 | thousands by filing date | put |
| ASHFORD INC | 044104107 | COM | 186 | $12,000 | thousands by filing date | |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 198 | $12,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 1,511 | $12,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 2,990 | $12,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 3,100 | $12,000 | thousands by filing date | call |
| RESTORBIO INC | 76133L103 | COM | 1,290 | $12,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 5,633 | $12,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 1,500 | $11,000 | thousands by filing date | put |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 3,453 | $11,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 237 | $11,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 1,442 | $11,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 100 | $11,000 | thousands by filing date | put |
| BJS WHSL CLUB HLDGS INC COM | 05550J101 | Stock | 486 | $11,000 | thousands by filing date | |
| VISTRA CORP COM | 92840M102 | Stock | 455 | $11,000 | thousands by filing date | call |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 800 | $11,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E743 | RAFI DVLPD MRKTS | 258 | $11,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 1,671 | $11,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 1,000 | $11,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 801 | $11,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 2,000 | $11,000 | thousands by filing date | call |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 500 | $11,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 200 | $11,000 | thousands by filing date | put |
| MERCER INTL INC | 588056101 | COM | 600 | $11,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 119 | $11,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 1,093 | $11,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FUND TRUST INVESCO DORSEY WRIGHT UTILITIES MOMENTUM ETF | 46137V795 | ETF | 400 | $11,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 456 | $11,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 1,303 | $11,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 494 | $11,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 4,100 | $11,000 | thousands by filing date | call |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 393 | $11,000 | thousands by filing date | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 400 | $11,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 1,177 | $11,000 | thousands by filing date | |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 155 | $11,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 745 | $11,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 726 | $11,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 3,503 | $11,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 13,000 | $11,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 3,864 | $11,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 1,040 | $11,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 5,668 | $11,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 1,247 | $11,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E855 | INSIGHTSHARES | 450 | $11,000 | thousands by filing date | |
| WABTEC COM | 929740108 | Stock | 100 | $10,000 | thousands by filing date | put |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 1,700 | $10,000 | thousands by filing date | call |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 400 | $10,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 3,300 | $10,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 156 | $10,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 149 | $10,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 663 | $10,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 600 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 400 | $10,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 551 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 115 | $10,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 717 | $10,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 1,678 | $10,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 504 | $10,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 322 | $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 | |
| AMPLIFY ETF TR | 032108102 | CMN | 200 | $10,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 789 | $10,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 1,509 | $10,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 630 | $10,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 1,711 | $10,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 451 | $10,000 | thousands by filing date | |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 1,481 | $10,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 1,000 | $10,000 | thousands by filing date | call |
| ANIXTER INTL INC | 035290105 | COM | 153 | $10,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 4,000 | $10,000 | thousands by filing date | put |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 3,028 | $10,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 800 | $10,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 900 | $10,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 924 | $10,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 288 | $10,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 2,900 | $10,000 | thousands by filing date | put |
| REALPAGE INC | 75606NAB5 | NOTE | 7,000 | $10,000 | thousands by filing date | principal |
| MENLO THERAPEUTICS INC | 586858102 | COM | 1,287 | $10,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 3,590 | $10,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 388 | $10,000 | thousands by filing date | |
| ISHARES TR | 46435G565 | MLTFCT HLTCARE | 300 | $10,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 114 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 66 | $9,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 309 | $9,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E610 | KBW HIG DV YLD | 400 | $9,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V274 | S&P500 EQL UTL | 111 | $9,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 600 | $9,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 414 | $9,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 152 | $9,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 2,525 | $9,000 | thousands by filing date | |
| LA Z BOY INC | 505336107 | COM | 300 | $9,000 | thousands by filing date | call |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 330 | $9,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 376 | $9,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 293 | $9,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 250 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 300 | $9,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 637 | $9,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 200 | $9,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 1,900 | $9,000 | thousands by filing date | put |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 1,000 | $9,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 1,000 | $9,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 771 | $9,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 1,810 | $9,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 300 | $9,000 | thousands by filing date | call |
| Pimco Income Oppty Fund | 72202B100 | COM | 325 | $9,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 678 | $9,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 40,800 | $9,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 4,000 | $9,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 2,683 | $9,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V654 | DYNMC RETAIL | 225 | $9,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 2,483 | $9,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 301 | $8,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 1,099 | $8,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 1,279 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 222 | $8,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 300 | $8,000 | thousands by filing date | |
| INVESCO ENERGY EXPLORATION & PRODUCTION ETF | 46137V761 | ETF | 300 | $8,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 406 | $8,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 200 | $8,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 1,550 | $8,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 863 | $8,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 1,443 | $8,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $8,000 | thousands by filing date | call |
| LIBBEY INC | 529898108 | COM | 1,039 | $8,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 900 | $8,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 9,000 | $8,000 | thousands by filing date | principal |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 280 | $8,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 411 | $8,000 | thousands by filing date | |
| PROSHARES TR ULTPRO SHT 2017 | 74348A152 | CEF | 319 | $8,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 22,500 | $8,000 | thousands by filing date | call |
| AMERICANRLTYINVSINC | 029174109 | STOK | 416 | $7,000 | thousands by filing date | |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 329 | $7,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 300 | $7,000 | thousands by filing date | call |
| COMMVAULT SYS INC COM | 204166102 | Stock | 100 | $7,000 | thousands by filing date | put |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 2,100 | $7,000 | thousands by filing date | put |
| ARCHROCK INC | 03957W106 | COM | 615 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 348 | $7,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 100 | $7,000 | thousands by filing date | call |
| INVESCO EXCH TRADED FD TR II | 46138G706 | SOLAR ETF | 290 | $7,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 400 | $7,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 147 | $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 | |
| CATALENT INC USD 0.01 | 148806102 | COM | 159 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 385 | $7,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 689 | $7,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 800 | $7,000 | thousands by filing date | put |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 201 | $7,000 | thousands by filing date | |
| INVESCO S&P SMALLCAP 600PURE VALUE ETF | 46137V167 | ETF | 90 | $7,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 100 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 200 | $7,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 467 | $7,000 | thousands by filing date | |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 300 | $7,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 1,047 | $7,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 15,000 | $7,000 | thousands by filing date | call |
| FLOTEK INDS INC DEL | 343389102 | COM | 2,200 | $7,000 | thousands by filing date | put |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,028 | $7,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 13,900 | $7,000 | thousands by filing date | call |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 166 | $7,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 5,000 | $7,000 | thousands by filing date | put |
| TWO RIV BANCORP | 90207C105 | COMMON | 382 | $7,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 3,975 | $7,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 1,000 | $7,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 509 | $7,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E883 | CHINS YUAN DIM | 323 | $7,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 700 | $6,000 | thousands by filing date | |
| VALMONT INDS INC COM | 920253101 | Stock | 42 | $6,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 100 | $6,000 | thousands by filing date | call |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 1,700 | $6,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 101 | $6,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 300 | $6,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 400 | $6,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 500 | $6,000 | thousands by filing date | |
| JPMORGAN INT BOND OPPORTUNITIE | 46641Q852 | INTL BD OPP ETF | 118 | $6,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 864 | $6,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 394 | $6,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M100 | COM SER A | 300 | $6,000 | thousands by filing date | put |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 500 | $6,000 | thousands by filing date | |
| CABOT MICROELECTRONICS CORP | 12709P103 | COM | 63 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 125 | $6,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 448 | $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 | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 156 | $6,000 | thousands by filing date | |
| INVESCO MSCI SUSTAINABLEFUTURE ETF | 46137V407 | ETF | 145 | $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 | |
| XL GROUP LTD | G98294104 | COM | 100 | $6,000 | thousands by filing date | put |
| XL GROUP LTD | G98294104 | COM | 100 | $6,000 | thousands by filing date | call |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 5,000 | $6,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 6,000 | $6,000 | thousands by filing date | principal |
| LUNA INNOVATIONS INC | 550351100 | COM | 2,000 | $6,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 207 | $6,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 2,272 | $6,000 | thousands by filing date | |
| NEW YORK REIT INC liquidation shs | 64976L208 | COMMON STOCK | 336 | $6,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 1,623 | $6,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 3,300 | $6,000 | thousands by filing date | call |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 1,700 | $6,000 | thousands by filing date | call |
| NOBILIS HEALTH CORP | 65500B103 | COM | 5,274 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V555 | INSIDER SENMNT | 92 | $6,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406152 | COM VAR VTG | 2,700 | $6,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 566 | $6,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 3,850 | $6,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 539 | $6,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 900 | $6,000 | thousands by filing date | call |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 325 | $6,000 | thousands by filing date | |
| CAVCO INDS INC DEL | 149568107 | COM | 23 | $5,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 2,100 | $5,000 | thousands by filing date | |
| VISTRA CORP COM | 92840M102 | Stock | 195 | $5,000 | thousands by filing date | put |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 2,000 | $5,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 666 | $5,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 166 | $5,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 375 | $5,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 200 | $5,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E115 | S&P SMLCP INFO | 65 | $5,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 100 | $5,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 500 | $5,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 400 | $5,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 935 | $5,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 243 | $5,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 354 | $5,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 137 | $5,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 161 | $5,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 300 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 70 | $5,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 589 | $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 | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 199 | $5,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 279 | $5,000 | thousands by filing date | |
| REXNORD CORP | 76169B102 | COMMON STOCK | 174 | $5,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 1,900 | $5,000 | thousands by filing date | put |
| FLOTEK INDS INC DEL | 343389102 | COM | 1,500 | $5,000 | thousands by filing date | call |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 947 | $5,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 500 | $5,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 57 | $5,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 1,800 | $5,000 | thousands by filing date | put |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 350 | $5,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 168 | $5,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 910 | $5,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 170 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W463 | JAPAN HDG FINL | 200 | $5,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 807 | $5,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 2,000 | $5,000 | thousands by filing date | principal |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 104 | $4,000 | thousands by filing date | |
| ASBURY AUTOMOTIVE GROUP INC COM | 043436104 | Stock | 52 | $4,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 100 | $4,000 | thousands by filing date | call |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 414 | $4,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 762 | $4,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 114 | $4,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 100 | $4,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 318 | $4,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 700 | $4,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 280 | $4,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 500 | $4,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 300 | $4,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 200 | $4,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 600 | $4,000 | thousands by filing date | put |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 600 | $4,000 | thousands by filing date | call |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 3,500 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 127 | $4,000 | thousands by filing date | |
| TORTOISE MLP FD INC | 89148B119 | RIGHT 07/18/2018 | 11,319 | $4,000 | thousands by filing date | call |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 98 | $4,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 350 | $4,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 207 | $4,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 300 | $4,000 | thousands by filing date | |
| SILICON LABORATORIES INC | 826919AB8 | NOTE 1.375% 3/0 | 3,000 | $4,000 | thousands by filing date | principal |
| REALPAGE INC | 75606N109 | COM | 69 | $4,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 267 | $4,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $4,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 228 | $4,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 900 | $4,000 | thousands by filing date | |
| INVSC RAFI US 1500 SML MID ETF | 46137V209 | ETF | 115 | $4,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J601 | BULSHS 2020 HY | 154 | $4,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 2,000 | $4,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 1,463 | $4,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 1,230 | $4,000 | thousands by filing date | |
| NEW FRONTIER CORP | G6485P116 | UNIT 99/99/9999 | 400 | $4,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605124 | SHS | 1,586 | $4,000 | thousands by filing date | |
| KEMPER CORP COM | 488401100 | Stock | 39 | $3,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 47 | $3,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 112 | $3,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 95 | $3,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P607 | NUVEEN ESG SMLCP | 100 | $3,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 300 | $3,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 76 | $3,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E727 | RAFI EMRGNG MRKT | 126 | $3,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 50 | $3,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 300 | $3,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 500 | $3,000 | thousands by filing date | put |
| TERRAFORM PWR INC | 88104R209 | COM CL A | 260 | $3,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 272 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R811 | NASDQ SEMCNDTR | 100 | $3,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 200 | $3,000 | thousands by filing date | call |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 111 | $3,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 207 | $3,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 33 | $3,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 119 | $3,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 341 | $3,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 1,013 | $3,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 100 | $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 | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 3 | $3,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 400 | $3,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E545 | MSCI GBL TIMBR | 100 | $3,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 1,700 | $3,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 500 | $3,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 200 | $3,000 | thousands by filing date | put |
| AH BELO CORP | 001282102 | COMMON STOCK | 572 | $3,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 4,120 | $3,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 29 | $3,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 1,444 | $3,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 1,000 | $3,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 1,000 | $3,000 | thousands by filing date | principal |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 1,216 | $3,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 1,700 | $3,000 | thousands by filing date | put |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 200 | $3,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 912 | $3,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 1,332 | $3,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 257 | $3,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 100 | $2,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 103 | $2,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 100 | $2,000 | thousands by filing date | call |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 39 | $2,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 300 | $2,000 | thousands by filing date | |
| 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 | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 74 | $2,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 87 | $2,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 93 | $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 | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 300 | $2,000 | thousands by filing date | |
| MEREDITH CORP | 589433101 | COM | 47 | $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 | 203 | $2,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 700 | $2,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 700 | $2,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 74 | $2,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 141 | $2,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 200 | $2,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V803 | DORSEY WRGT CSMR | 30 | $2,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 200 | $2,000 | thousands by filing date | put |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 500 | $2,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 88 | $2,000 | thousands by filing date | |
| PETIQ INC | 71639T106 | COMMON STOCK | 89 | $2,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 133 | $2,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 85 | $2,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 612 | $2,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 300 | $2,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 1,800 | $2,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 2,000 | $2,000 | thousands by filing date | principal |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 25 | $2,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 1,000 | $2,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 450 | $2,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 85 | $2,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 1,000 | $2,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 60 | $2,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 1,600 | $2,000 | thousands by filing date | call |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 54 | $2,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 165 | $2,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 385 | $2,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 604 | $2,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 700 | $2,000 | thousands by filing date | |
| PROSHARES TR II | 74347W163 | ULTRA VIX SHORT | 200 | $2,000 | thousands by filing date | put |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 2,000 | $2,000 | thousands by filing date | principal |
| NANTHEALTH INC | 630104107 | CMN | 548 | $2,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 100 | $2,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-18-000126 | this filing | 2018-08-10 | acceptance time not in the bulk data set |