13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-13, with 7,816 holding rows worth $112,091,996,000.
- Accession
- 0000831001-18-000166
- Filer
- CIK 831001
- Filed
- 2018-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 16,907 entries on the cover page, a total value of $112,091,996,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $112,091,996,000 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 Europe AG028-10817
- included managerCitigroup Global Markets Europe Ltd028-04305
- 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 |
|---|---|---|---|---|---|---|
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 4,276 | $52,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 5,889 | $52,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 1,313 | $51,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 6,573 | $51,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 1,325 | $51,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 3,724 | $51,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 5,830 | $51,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 75,000 | $51,000 | thousands by filing date | principal |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 9,809 | $51,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 3,326 | $51,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 13,600 | $51,000 | thousands by filing date | put |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 2,900 | $51,000 | thousands by filing date | put |
| NEVRO CORP | 64157F103 | COM | 900 | $51,000 | thousands by filing date | put |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 3,298 | $51,000 | thousands by filing date | |
| I3 VERTICALS INC | 46571Y107 | COM CL A | 2,158 | $50,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U886 | HENDRSN SHRT ETF | 1,000 | $50,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 2,336 | $50,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 1,235 | $50,000 | thousands by filing date | |
| PETIQ INC | 71639T106 | COMMON STOCK | 1,273 | $50,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 3,235 | $50,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 15,000 | $50,000 | thousands by filing date | put |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 5,755 | $50,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 8,600 | $50,000 | thousands by filing date | put |
| SAFETY INCOME & GROWTH INC | 78649D104 | COM | 2,697 | $50,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 2,884 | $49,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 3,267 | $49,000 | thousands by filing date | |
| MONGODB INC CL A | 60937P106 | Stock | 600 | $49,000 | thousands by filing date | call |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 970 | $49,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 1,591 | $49,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 506 | $49,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 2,400 | $49,000 | thousands by filing date | put |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 2,674 | $49,000 | thousands by filing date | |
| Invsc SP 500 Equal Weight Matrl ETF | 46137V316 | ETF | 450 | $49,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 1,867 | $49,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 1,622 | $49,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 926 | $49,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 5,307 | $49,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 5,196 | $49,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 12,400 | $49,000 | thousands by filing date | call |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 4,706 | $49,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 9,361 | $49,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 1,840 | $49,000 | thousands by filing date | |
| SB ONE BANCORP | 78413T103 | COM | 1,963 | $49,000 | thousands by filing date | |
| MONGODB INC CL A | 60937P106 | Stock | 589 | $48,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 7,412 | $48,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 541 | $48,000 | thousands by filing date | |
| DOMO INC | 257554105 | COM CL B | 2,247 | $48,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 869 | $48,000 | thousands by filing date | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 1,000 | $48,000 | thousands by filing date | put |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 2,040 | $48,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 1,971 | $48,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 2,137 | $48,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 2,556 | $48,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 3,800 | $48,000 | thousands by filing date | call |
| CROWN CRAFTS INC | 228309100 | COM | 8,500 | $48,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 1,885 | $48,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 4,881 | $48,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 1,500 | $48,000 | thousands by filing date | put |
| THE BANK OF PRINCETON | 064520109 | COMMON | 1,584 | $48,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW | 33767E103 | COM | 569 | $48,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 10,834 | $48,000 | thousands by filing date | |
| CARBON BLACK INC | 14081R103 | COM | 2,284 | $48,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 2,500 | $48,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 909 | $47,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 6,700 | $47,000 | thousands by filing date | call |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 3,605 | $47,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 962 | $47,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 1,000 | $47,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 2,495 | $47,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 3,789 | $47,000 | thousands by filing date | |
| BEACON ROOFING SUPPLY INC | 073685109 | COM | 1,300 | $47,000 | thousands by filing date | call |
| NOODLES & CO | 65540B105 | COM CL A | 3,866 | $47,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 2,060 | $47,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 2,930 | $47,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 1,350 | $47,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 1,419 | $47,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 43,030 | $47,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 3,999 | $47,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 7,675 | $47,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 3,760 | $47,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 28,000 | $47,000 | thousands by filing date | principal |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 35,000 | $47,000 | thousands by filing date | principal |
| ISHARES TR | 46435G516 | COM | 691 | $46,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 700 | $46,000 | thousands by filing date | call |
| RAYMOND JAMES FINL INC COM | 754730109 | Stock | 500 | $46,000 | thousands by filing date | call |
| CELCUITY INC | 15102K100 | COM | 1,598 | $46,000 | thousands by filing date | |
| EDGEWELL PERSONAL CARE CO | 28035Q102 | COM | 1,000 | $46,000 | thousands by filing date | put |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 2,865 | $46,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 2,488 | $46,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V720 | LEISU ENTMT ETF | 981 | $46,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 9,500 | $46,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 1,287 | $46,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 1,745 | $46,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 4,828 | $46,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 5,660 | $46,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,550 | $46,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 10,716 | $46,000 | thousands by filing date | |
| WTS/HUNTER MARITIME ACQUISITIEXP12/31/2021 | Y37828129 | WARR | 172,523 | $46,000 | thousands by filing date | call |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 11,608 | $46,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 12,051 | $46,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C102 | SPON ADS | 9,740 | $46,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 3,863 | $46,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867208 | UNIT 99/99/9999 | 4,084 | $46,000 | thousands by filing date | |
| COLLIERS INTL GROUP INC SUB VTG SHS | 194693107 | Stock | 572 | $45,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 2,100 | $45,000 | thousands by filing date | put |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 21,500 | $45,000 | thousands by filing date | call |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 4,480 | $45,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 2,299 | $45,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 3,568 | $45,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 10,565 | $45,000 | thousands by filing date | |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 1,738 | $45,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 3,084 | $45,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 4,825 | $45,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 3,500 | $45,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 3,920 | $45,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 2,668 | $45,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 813 | $45,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 1,592 | $45,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 2,000 | $45,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 367 | $45,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 4,538 | $45,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 3,756 | $45,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 600 | $44,000 | thousands by filing date | call |
| PATTERSON COS INC | 703395103 | COM | 1,800 | $44,000 | thousands by filing date | call |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 13,752 | $44,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 3,569 | $44,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 6,000 | $44,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 2,800 | $44,000 | thousands by filing date | call |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 380 | $44,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 18,600 | $44,000 | thousands by filing date | put |
| NORTHEAST BANCORP | 663904209 | COM | 2,041 | $44,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 4,068 | $44,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 2,171 | $44,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 5,800 | $44,000 | thousands by filing date | put |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 4,477 | $44,000 | thousands by filing date | |
| CORPORATE CAP TR INC | 219880101 | COM | 2,907 | $44,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629505 | COM | 1,181 | $44,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 2,702 | $44,000 | thousands by filing date | |
| JONES LANG LASALLE INC COM | 48020Q107 | Stock | 300 | $43,000 | thousands by filing date | put |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 4,000 | $43,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 7,800 | $43,000 | thousands by filing date | call |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 4,871 | $43,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 1,000 | $43,000 | thousands by filing date | call |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 2,000 | $43,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,909 | $43,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 2,371 | $43,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 2,158 | $43,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V688 | NEXT GEN CON ETF | 750 | $43,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 8,508 | $43,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 5,716 | $43,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 9,200 | $43,000 | thousands by filing date | put |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 4,478 | $43,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 1,100 | $43,000 | thousands by filing date | call |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 2,677 | $43,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 2,942 | $43,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 3,056 | $43,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 5,500 | $42,000 | thousands by filing date | call |
| COMMVAULT SYS INC COM | 204166102 | Stock | 600 | $42,000 | thousands by filing date | put |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 427 | $42,000 | thousands by filing date | |
| NLIGHT INC | 65487K100 | COM | 1,913 | $42,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 4,198 | $42,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 1,859 | $42,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 6,467 | $42,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 7,800 | $42,000 | thousands by filing date | put |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 3,990 | $42,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 1,699 | $42,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 10,799 | $42,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 1,650 | $42,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 1,759 | $42,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 2,014 | $42,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 7,076 | $42,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 2,442 | $42,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 7,868 | $41,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 5,600 | $41,000 | thousands by filing date | call |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 13,500 | $41,000 | thousands by filing date | put |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 6,810 | $41,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 3,400 | $41,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 1,134 | $41,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 1,225 | $41,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 1,639 | $41,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 1,381 | $41,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 2,000 | $41,000 | thousands by filing date | call |
| AVANGRID INC | 05351W103 | COM | 856 | $41,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 1,410 | $41,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 2,001 | $41,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 3,258 | $41,000 | thousands by filing date | |
| CARDLYTICS INC | 14161W105 | COM | 1,635 | $41,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 3,081 | $41,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 9,091 | $41,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 786 | $41,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 20,600 | $41,000 | thousands by filing date | call |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 2,965 | $41,000 | thousands by filing date | call |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 4,717 | $41,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 4,400 | $41,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 16,400 | $40,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 491 | $40,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 2,400 | $40,000 | thousands by filing date | call |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 508 | $40,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 3,031 | $40,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 3,485 | $40,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 13,994 | $40,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 2,623 | $40,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 3,012 | $40,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V753 | FOOD & BEVERAGE | 1,235 | $40,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 2,863 | $40,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 9,973 | $40,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 3,612 | $40,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 4,283 | $40,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 1,032 | $40,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 1,111 | $40,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 7,851 | $40,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 4,170 | $40,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 4,459 | $40,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 7,140 | $40,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 800 | $39,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 1,100 | $39,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 785 | $39,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 108 | $39,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 4,200 | $39,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 1,700 | $39,000 | thousands by filing date | put |
| EGAIN CORP | 28225C806 | COM NEW | 4,853 | $39,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 5,500 | $39,000 | thousands by filing date | call |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 1,770 | $39,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 1,286 | $39,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 595 | $39,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 11,291 | $39,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 3,996 | $39,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 837 | $39,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 3,583 | $39,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 5,219 | $39,000 | thousands by filing date | |
| PIVOTAL SOFTWARE INC | 72582H107 | COM CL A | 2,000 | $39,000 | thousands by filing date | put |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 1,312 | $38,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 3,400 | $38,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 1,292 | $38,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 906 | $38,000 | thousands by filing date | |
| DBX ETF TR | 233051820 | XTRACK MSCI ALL | 1,364 | $38,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 1,174 | $38,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 1,051 | $38,000 | thousands by filing date | |
| MESA AIR GROUP INC | 590479135 | COM NEW | 2,716 | $38,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 3,091 | $38,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 2,700 | $38,000 | thousands by filing date | call |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 2,289 | $38,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 1,363 | $37,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 1,085 | $37,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 2,500 | $37,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 3,577 | $37,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 3,700 | $37,000 | thousands by filing date | call |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 2,100 | $37,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 4,295 | $37,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 2,588 | $37,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 1,906 | $37,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 3,684 | $37,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 2,939 | $37,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 1,276 | $37,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 3,000 | $37,000 | thousands by filing date | call |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 871 | $37,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 3,499 | $37,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 500 | $37,000 | thousands by filing date | call |
| ITERIS INC NEW | 46564T107 | COM | 7,006 | $37,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 2,462 | $37,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 2,212 | $37,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 791 | $37,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 33,400 | $37,000 | thousands by filing date | call |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 2,042 | $37,000 | thousands by filing date | |
| SANMINA CORP COM | 801056102 | Stock | 1,300 | $36,000 | thousands by filing date | call |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 11,800 | $36,000 | thousands by filing date | call |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 2,450 | $36,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 1,813 | $36,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 2,000 | $36,000 | thousands by filing date | put |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 1,500 | $36,000 | thousands by filing date | call |
| GREENBRIER COS INC | 393657101 | COM | 600 | $36,000 | thousands by filing date | put |
| OCEANEERING INTL INC | 675232102 | COM | 1,300 | $36,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 400 | $36,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 900 | $36,000 | thousands by filing date | put |
| AMERICAN FINANCE TRUST INC | 02607T109 | COM CLASS A | 2,350 | $36,000 | thousands by filing date | |
| MANITOWOC CO INC | 563571405 | COM NEW | 1,500 | $36,000 | thousands by filing date | call |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 3,421 | $36,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 963 | $36,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 2,190 | $36,000 | thousands by filing date | |
| PACER TRENDPILOT 100 ETF | 69374H303 | ETF | 1,000 | $36,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 13,091 | $36,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 14,800 | $36,000 | thousands by filing date | put |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 2,173 | $36,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 1,862 | $36,000 | thousands by filing date | |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 2,581 | $36,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C203 | S&P MDCP 400 REV | 570 | $36,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 2,414 | $36,000 | thousands by filing date | |
| HUNT COS FIN TR INC | 44558T100 | COM | 9,626 | $36,000 | thousands by filing date | |
| BLACK HILLS CORP | 092113125 | UNIT 99/99/9999 | 581 | $36,000 | thousands by filing date | |
| ACADIA HEALTHCARE COMPANY INC COM | 00404A109 | Stock | 1,000 | $35,000 | thousands by filing date | call |
| BILIBILI INC SPONS ADS REP Z | 090040106 | ADR | 2,600 | $35,000 | thousands by filing date | call |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 3,508 | $35,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 1,825 | $35,000 | thousands by filing date | |
| ICHOR HOLDINGS | G4740B105 | SHS | 1,700 | $35,000 | thousands by filing date | put |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 2,170 | $35,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 3,058 | $35,000 | thousands by filing date | |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 500 | $35,000 | thousands by filing date | call |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 1,877 | $35,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 549 | $35,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 3,248 | $35,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 1,800 | $35,000 | thousands by filing date | call |
| TRITON INTL LTD | G9078F107 | CL A | 1,023 | $35,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 3,262 | $35,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 1,000 | $35,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 5,080 | $35,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 1,411 | $35,000 | thousands by filing date | |
| CARDTRONICS INC | 14161HAG3 | NOTE 1.000%12/0 | 36,000 | $35,000 | thousands by filing date | principal |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 582 | $34,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 4,554 | $34,000 | thousands by filing date | |
| BANK OZK LITTLE ROCK ARK COM | 06417N103 | Stock | 900 | $34,000 | thousands by filing date | call |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 2,337 | $34,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 5,332 | $34,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 2,000 | $34,000 | thousands by filing date | call |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 5,679 | $34,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 2,995 | $34,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 1,643 | $34,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 1,328 | $34,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 21,500 | $34,000 | thousands by filing date | put |
| GLOBALSTAR INC | 378973408 | COM | 66,838 | $34,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 14,100 | $34,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 502 | $34,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 4,845 | $34,000 | thousands by filing date | |
| FORTY SEVEN INC | 34983P104 | COM | 2,282 | $34,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 3,182 | $34,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 1,186 | $34,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 600 | $33,000 | thousands by filing date | call |
| MADISON SQUARE GRDN SPRT CORP CL A | 55825T103 | Stock | 105 | $33,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 17,820 | $33,000 | thousands by filing date | put |
| ADMA BIOLOGICS INC | 000899104 | COM | 5,312 | $33,000 | thousands by filing date | |
| PACER FDS TR | 69374H204 | TRENDP US MID CP | 1,000 | $33,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 1,506 | $33,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 600 | $33,000 | thousands by filing date | put |
| QUIDEL CORP | 74838J101 | COM | 500 | $33,000 | thousands by filing date | call |
| SMARTSHEET INC. (CLASS A) | 83200N103 | COM CL A | 1,059 | $33,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 2,750 | $33,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E180 | S&P SMLCP DISC | 472 | $33,000 | thousands by filing date | |
| ISHARES INC | 46434G830 | MSCI ITALY ETF | 1,186 | $33,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 436 | $33,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 1,700 | $33,000 | thousands by filing date | put |
| CTI BIOPHARMA CORP | 12648L601 | COM | 15,426 | $33,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 22,000 | $33,000 | thousands by filing date | call |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 1,700 | $33,000 | thousands by filing date | call |
| NEW YORK & CO INC | 649295102 | COM | 8,453 | $33,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 1,850 | $33,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E503 | CHINA ALL CAP | 1,028 | $33,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 1,300 | $32,000 | thousands by filing date | call |
| INSULET CORP COM | 45784P101 | Stock | 300 | $32,000 | thousands by filing date | call |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 4,000 | $32,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 800 | $32,000 | thousands by filing date | call |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 3,000 | $32,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 2,285 | $32,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 928 | $32,000 | thousands by filing date | |
| CADENCE BANCORP | 12739A100 | COMMON EQUITY | 1,207 | $32,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 15,200 | $32,000 | thousands by filing date | call |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 11,535 | $32,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 2,000 | $32,000 | thousands by filing date | put |
| EXONE CO | 302104104 | COM | 3,400 | $32,000 | thousands by filing date | put |
| FRED S INC CLASS A | 356108100 | COM | 15,600 | $32,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 62,500 | $32,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 2,000 | $32,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 6,500 | $32,000 | thousands by filing date | put |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 9,281 | $32,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 2,122 | $32,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 2,802 | $32,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 1,500 | $31,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 2,248 | $31,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 2,207 | $31,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 5,062 | $31,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 4,908 | $31,000 | thousands by filing date | |
| PACER FDS TR | 69374H105 | TRENDP US LAR CP | 1,000 | $31,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 3,434 | $31,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 3,295 | $31,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 1,439 | $31,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 13,000 | $31,000 | thousands by filing date | call |
| RYB ED INC | 74979W101 | ADR | 1,449 | $31,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 717 | $31,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 4,174 | $31,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 840 | $31,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 561 | $30,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 1,782 | $30,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 2,950 | $30,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 902 | $30,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 3,691 | $30,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 2,481 | $30,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 2,040 | $30,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 1,265 | $30,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 2,275 | $30,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 32 | $30,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 13,335 | $30,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 2,976 | $30,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 3,214 | $30,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G607 | SHIPPING ETF | 2,925 | $30,000 | thousands by filing date | |
| ESTRE AMBIENTAL INC WT EXP 122 | G3206V118 | WT | 100,000 | $30,000 | thousands by filing date | call |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 14,300 | $30,000 | thousands by filing date | call |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 19,000 | $30,000 | thousands by filing date | principal |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 3,338 | $29,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 534 | $29,000 | thousands by filing date | |
| JONES LANG LASALLE INC COM | 48020Q107 | Stock | 200 | $29,000 | thousands by filing date | call |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 3,515 | $29,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 857 | $29,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 1,000 | $29,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 497 | $29,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 9,900 | $29,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 27,922 | $29,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 4,862 | $29,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 56,967 | $29,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 2,142 | $29,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 1,156 | $29,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 3,574 | $29,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 24,231 | $29,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 657 | $28,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 200 | $28,000 | thousands by filing date | call |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 5,700 | $28,000 | thousands by filing date | call |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 240 | $28,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 235 | $28,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 4,581 | $28,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 1,330 | $28,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 1,500 | $28,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 370 | $28,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 600 | $28,000 | thousands by filing date | put |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 400 | $28,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 2,827 | $28,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 1,183 | $28,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 12,348 | $28,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 1,000 | $28,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 12,147 | $28,000 | thousands by filing date | |
| FUSION CONNECT INC | 36116X102 | COM | 10,820 | $28,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 4,511 | $28,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 500 | $27,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 700 | $27,000 | thousands by filing date | |
| TORM PLC SHS CL A | G89479102 | Stock | 4,512 | $27,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 1,000 | $27,000 | thousands by filing date | put |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 500 | $27,000 | thousands by filing date | call |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 3,155 | $27,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 1,755 | $27,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,700 | $27,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 1,569 | $27,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 2,227 | $27,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 834 | $27,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 710 | $27,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 4,425 | $27,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 3,262 | $27,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 590 | $27,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 2,800 | $27,000 | thousands by filing date | call |
| INVESCO QQQ TRUST SERIES 1 | 74347B268 | ULTRAPRO SHORT S | 850 | $27,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 25,463 | $27,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 53,100 | $27,000 | thousands by filing date | call |
| iShares MSCI Frontier 100 | 464286145 | cs | 962 | $27,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 20,043 | $27,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 2,741 | $27,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 14,974 | $27,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 766 | $26,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 1,460 | $26,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 684 | $26,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 1,600 | $26,000 | thousands by filing date | call |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 3,009 | $26,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 1,015 | $26,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 1,134 | $26,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 1,543 | $26,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 3,199 | $26,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 600 | $26,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 1,623 | $26,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 7,790 | $26,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 13,566 | $26,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 4,430 | $26,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 2,659 | $26,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 615 | $26,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 1,000 | $26,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 300 | $25,000 | thousands by filing date | put |
| LOVESAC COMPANY | 54738L109 | COM | 991 | $25,000 | thousands by filing date | |
| SEA LTD | 81141R100 | SPONSORD ADS | 1,834 | $25,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 2,298 | $25,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 6,271 | $25,000 | thousands by filing date | |
| SENSATA TECHNOLOGIES HLDG PL | g8060n102 | SHS | 500 | $25,000 | thousands by filing date | put |
| SENSATA TECHNOLOGIES HLDG PL | g8060n102 | SHS | 500 | $25,000 | thousands by filing date | call |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 1,800 | $25,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 1,154 | $25,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 1,533 | $25,000 | thousands by filing date | |
| WELBILT INC | 949090104 | COM | 1,218 | $25,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 495 | $25,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 6,102 | $25,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 652 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 2,103 | $25,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 595 | $25,000 | thousands by filing date | |
| ZUORA INC | 98983V106 | COMMON STOCK | 1,100 | $25,000 | thousands by filing date | put |
| Direxion Daily Small Cap Bear | 25490k521 | COM | 3,000 | $25,000 | thousands by filing date | put |
| KALA BIO INC COM | 483119103 | Stock | 2,545 | $25,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 2,500 | $25,000 | thousands by filing date | put |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 574 | $25,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 958 | $24,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,676 | $24,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 186 | $24,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 1,870 | $24,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 1,859 | $24,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 2,333 | $24,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 2,555 | $24,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 250 | $24,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P200 | ST STR TOTAL ETF | 500 | $24,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 884 | $24,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 1,787 | $24,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-18-000166 | this filing | 2018-11-13 | acceptance time not in the bulk data set |