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 |
|---|---|---|---|---|---|---|
| FLOTEK INDS INC DEL | 343389102 | COM | 10,100 | $24,000 | thousands by filing date | call |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 6,400 | $24,000 | thousands by filing date | put |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 7,400 | $24,000 | thousands by filing date | call |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 1,516 | $24,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 1,686 | $24,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 7,976 | $24,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 11,449 | $24,000 | thousands by filing date | |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 300 | $23,000 | thousands by filing date | put |
| EASTMAN KODAK CO | 277461406 | COM NEW | 7,323 | $23,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 1,000 | $23,000 | thousands by filing date | put |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 2,070 | $23,000 | thousands by filing date | |
| INVESCO TR II ETF S&P INTL DEV LOW LOW VOLATILITY | 46138E230 | ETF | 700 | $23,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E586 | KBW PPTY CASUT | 358 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 1,000 | $23,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 2,216 | $23,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 1,003 | $23,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 505 | $23,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 1,557 | $23,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 3,200 | $23,000 | thousands by filing date | call |
| ZUORA INC | 98983V106 | COMMON STOCK | 1,017 | $23,000 | thousands by filing date | |
| ZUORA INC | 98983V106 | COMMON STOCK | 1,000 | $23,000 | thousands by filing date | call |
| TIDEWATER INC NEW | 88642R117 | WARR | 5,664 | $23,000 | thousands by filing date | call |
| 22ND CENTY GROUP INC | 90137F103 | COM | 8,100 | $23,000 | thousands by filing date | put |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 51,490 | $23,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 2,819 | $23,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 5,700 | $23,000 | thousands by filing date | put |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 4,000 | $23,000 | thousands by filing date | call |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 1,613 | $23,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 1,388 | $23,000 | thousands by filing date | |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 22,000 | $23,000 | thousands by filing date | principal |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 1,440 | $23,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 648 | $22,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 100 | $22,000 | thousands by filing date | call |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 1,100 | $22,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 1,100 | $22,000 | thousands by filing date | put |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 1,900 | $22,000 | thousands by filing date | call |
| INVESCO EXCHANGE TRADED FD T | 46137V332 | S&P500 EQL HLT | 109 | $22,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 238 | $22,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 415 | $22,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 2,054 | $22,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 450 | $22,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 11,077 | $22,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 12,500 | $22,000 | thousands by filing date | call |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 3,463 | $22,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 8,867 | $22,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 1,998 | $22,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 4,500 | $22,000 | thousands by filing date | call |
| REMARK HLDGS INC | 75955K102 | COM | 7,060 | $22,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 5,797 | $22,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 1,009 | $22,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 11,328 | $22,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R300 | COM | 4,100 | $22,000 | thousands by filing date | |
| ROBERT HALF INC. COM | 770323103 | Stock | 300 | $21,000 | thousands by filing date | put |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 7,300 | $21,000 | thousands by filing date | put |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 1,000 | $21,000 | thousands by filing date | put |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 1,460 | $21,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 1,000 | $21,000 | thousands by filing date | put |
| ALCENTRA CAP CORP | 01374T102 | COM | 3,500 | $21,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 404 | $21,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 400 | $21,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 1,000 | $21,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 1,800 | $21,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,000 | $21,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 3,900 | $21,000 | thousands by filing date | call |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 2,830 | $21,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 6,515 | $21,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 2,485 | $21,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 1,486 | $21,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 6,400 | $21,000 | thousands by filing date | put |
| CENTERSTATE BK CORP | 15201P109 | COM | 743 | $21,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 6,567 | $21,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 1,190 | $21,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 360 | $21,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 2,003 | $21,000 | thousands by filing date | |
| SPDR SER TR | 78468R127 | S&P INTERNET ETF | 213 | $21,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 2,300 | $21,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 3,691 | $21,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 21,000 | $21,000 | thousands by filing date | principal |
| ISHARES TR | 46435G243 | COM | 800 | $20,000 | thousands by filing date | |
| CARVANA CO CL A | 146869102 | Stock | 341 | $20,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 8,100 | $20,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 300 | $20,000 | thousands by filing date | call |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 4,800 | $20,000 | thousands by filing date | put |
| BRUNSWICK CORP | 117043109 | COM | 300 | $20,000 | thousands by filing date | put |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 1,415 | $20,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 2,900 | $20,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,715 | $20,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,362 | $20,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 3,615 | $20,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 7,800 | $20,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 1,700 | $20,000 | thousands by filing date | call |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,210 | $20,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 11,500 | $20,000 | thousands by filing date | put |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 2,699 | $20,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 5,431 | $20,000 | thousands by filing date | call |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 11,698 | $20,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 1,103 | $20,000 | thousands by filing date | call |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 2,028 | $20,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 1,059 | $19,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V647 | SEMICONDUCTORS | 355 | $19,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 4,000 | $19,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 287 | $19,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 360 | $19,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 200 | $19,000 | thousands by filing date | call |
| LSB INDS INC | 502160104 | COM | 1,900 | $19,000 | thousands by filing date | call |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 1,205 | $19,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 1,500 | $19,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 903 | $19,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 1,100 | $19,000 | thousands by filing date | put |
| TRI POINTE HOMES INC | 87265H109 | COM | 1,500 | $19,000 | thousands by filing date | put |
| INVESCO DB PRECIOUS METALS FUND | 46140H502 | ETF | 552 | $19,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 3,000 | $19,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 2,500 | $19,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,484 | $19,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 14,971 | $19,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 8,946 | $19,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 7,841 | $19,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $19,000 | thousands by filing date | principal |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 1,300 | $19,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 2,000 | $19,000 | thousands by filing date | put |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 250 | $19,000 | thousands by filing date | |
| VISTRA CORP COM | 92840M102 | Stock | 743 | $18,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 1,244 | $18,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 1,229 | $18,000 | thousands by filing date | |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 942 | $18,000 | thousands by filing date | |
| COLUMBIA BKG SYS INC | 197236102 | COM | 466 | $18,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 232 | $18,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 1,100 | $18,000 | thousands by filing date | put |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 1,100 | $18,000 | thousands by filing date | call |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 1,600 | $18,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 871 | $18,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,000 | $18,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 1,352 | $18,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 6,821 | $18,000 | thousands by filing date | |
| HUYA INC ADS EACH REP 1 ORD SHS CL A | 44852D108 | COM | 778 | $18,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 235 | $18,000 | thousands by filing date | |
| ARRIS INTL INC SHS | G0551A103 | SHS | 700 | $18,000 | thousands by filing date | put |
| Xunlei Ltd-Adr | 98419E108 | COM | 2,500 | $18,000 | thousands by filing date | call |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 900 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 251 | $18,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 403 | $18,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 980 | $18,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 3,017 | $18,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 1,443 | $18,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 1,027 | $18,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 1,769 | $18,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 1,473 | $18,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 1,500 | $18,000 | thousands by filing date | put |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 1,500 | $18,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 237 | $18,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 650 | $18,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 218 | $17,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 341 | $17,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 1,367 | $17,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 299 | $17,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 108 | $17,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 517 | $17,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 300 | $17,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 2,684 | $17,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 4,200 | $17,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 728 | $17,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 1,500 | $17,000 | thousands by filing date | |
| FARFETCH LTD | 30744W107 | ORD SH CL A | 614 | $17,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 1,345 | $17,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 2,892 | $17,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J775 | BLOO PRI PWR ETF | 340 | $17,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 716 | $17,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 8,200 | $17,000 | thousands by filing date | put |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 600 | $17,000 | thousands by filing date | call |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 1,411 | $17,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 1,805 | $17,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 403 | $17,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 8,726 | $17,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 11,235 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 867 | $17,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 7,029 | $17,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 1,700 | $16,000 | thousands by filing date | put |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 750 | $16,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 403 | $16,000 | thousands by filing date | |
| MKS INC. COM | 55306N104 | Stock | 200 | $16,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 336 | $16,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 800 | $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 | |
| SLR INVESTMENT CORP | 83413U100 | COM | 760 | $16,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 491 | $16,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 397 | $16,000 | thousands by filing date | |
| Inflarx Nv | N44821101 | COM | 465 | $16,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 400 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 856 | $16,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,090 | $16,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 200 | $16,000 | thousands by filing date | put |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 9,700 | $16,000 | thousands by filing date | put |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 1,914 | $16,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 1,444 | $16,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 570 | $16,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J304 | BULSHS 2019 CB | 779 | $16,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 2,068 | $16,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAC4 | NOTE 1.625%11/0 | 18,000 | $16,000 | thousands by filing date | principal |
| CELLECT BIOTECHNOLOGY LTD | 15116C110 | *W EXP 08/03/202 | 9,000 | $16,000 | thousands by filing date | call |
| NUVEEN HGH INC DEC18 TRGT TR | 67075P103 | COM | 1,650 | $16,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 4,810 | $15,000 | thousands by filing date | |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 800 | $15,000 | thousands by filing date | call |
| ONESPAN INC | 68287N100 | COM | 800 | $15,000 | thousands by filing date | call |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 1,590 | $15,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 810 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 755 | $15,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 1,074 | $15,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 450 | $15,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 1,301 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 650 | $15,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 1,300 | $15,000 | thousands by filing date | put |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 2,000 | $15,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 3,438 | $15,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 5,313 | $15,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 2,889 | $15,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 1,200 | $15,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941B106 | COM CL A | 460 | $15,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 9,591 | $15,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 10,300 | $15,000 | thousands by filing date | put |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 1,265 | $15,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 2,203 | $15,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 1,401 | $15,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 14,538 | $15,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 6,900 | $15,000 | thousands by filing date | put |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 1,764 | $15,000 | thousands by filing date | |
| LEGACY RESVS INC COM | 524706108 | Stock | 3,100 | $15,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 17,000 | $15,000 | thousands by filing date | principal |
| Schwab US REIT ETF | 808524847 | SHS | 329 | $14,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 103 | $14,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 2,500 | $14,000 | thousands by filing date | put |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 107 | $14,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 318 | $14,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 200 | $14,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 600 | $14,000 | thousands by filing date | put |
| BGC PARTNERS INC | 05541T101 | CL A | 1,200 | $14,000 | thousands by filing date | call |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 1,100 | $14,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 2,395 | $14,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 434 | $14,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 700 | $14,000 | thousands by filing date | call |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 384 | $14,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 411 | $14,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 300 | $14,000 | thousands by filing date | call |
| CALAMP CORP | 128126109 | COMMON STOCK | 610 | $14,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 1,129 | $14,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 1,000 | $14,000 | thousands by filing date | put |
| FORTUNA MNG CORP F | 349915108 | COM | 3,200 | $14,000 | thousands by filing date | put |
| GSV CAPITAL CORP | 36191J101 | COM | 2,062 | $14,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 7,500 | $14,000 | thousands by filing date | put |
| PIVOTAL SOFTWARE INC | 72582H107 | COM CL A | 700 | $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 |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 5,000 | $14,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 500 | $13,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 350 | $13,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 122 | $13,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 289 | $13,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 1,928 | $13,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 1,504 | $13,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 1,363 | $13,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 2,000 | $13,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 865 | $13,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 1,357 | $13,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 1,300 | $13,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 169 | $13,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT INDUSTRIALS MOMENTUM ETF | 46137V845 | ETF | 200 | $13,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 550 | $13,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 985 | $13,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 2,267 | $13,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 3,416 | $13,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 1,000 | $13,000 | thousands by filing date | put |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 2,482 | $13,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BEAR 2X SHARES | 25460E554 | ETF | 400 | $13,000 | thousands by filing date | call |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 1,719 | $13,000 | thousands by filing date | |
| LEGACY RESVS INC COM | 524706108 | Stock | 2,600 | $13,000 | thousands by filing date | call |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 1,435 | $13,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 202 | $12,000 | thousands by filing date | |
| 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 | |
| CAMTEK LTD ORD | M20791105 | Stock | 1,442 | $12,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 500 | $12,000 | thousands by filing date | put |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 400 | $12,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 897 | $12,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 354 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 271 | $12,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 2,153 | $12,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 670 | $12,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 625 | $12,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 500 | $12,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 4,700 | $12,000 | thousands by filing date | call |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 600 | $12,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 270 | $12,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 119 | $12,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 2,074 | $12,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 14,327 | $12,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 1,641 | $12,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 1,205 | $12,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 1,100 | $12,000 | thousands by filing date | |
| NEW YORK REIT INC liquidation shs | 64976L208 | COMMON STOCK | 653 | $12,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 750 | $12,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 10,600 | $12,000 | thousands by filing date | put |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 1,000 | $12,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 241 | $12,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 12,506 | $12,000 | thousands by filing date | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 400 | $12,000 | thousands by filing date | |
| Blackrock 2022 Global In | 09258P104 | ETF | 1,385 | $12,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 13,028 | $12,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 384 | $12,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 7,100 | $12,000 | thousands by filing date | put |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 590 | $12,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 1,225 | $12,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 1,539 | $12,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 313 | $11,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 300 | $11,000 | thousands by filing date | call |
| VISTRA CORP COM | 92840M102 | Stock | 455 | $11,000 | thousands by filing date | call |
| MANHATTAN ASSOCIATES INC COM | 562750109 | Stock | 200 | $11,000 | thousands by filing date | put |
| B & G FOODS INC | 05508R106 | COM | 400 | $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 | |
| HEICO CORP NEW | 422806208 | CL A | 145 | $11,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 650 | $11,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 1,596 | $11,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 641 | $11,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 500 | $11,000 | thousands by filing date | call |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 65 | $11,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 389 | $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 | |
| SEMGROUP CORP | 81663A105 | CL A | 500 | $11,000 | thousands by filing date | put |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 456 | $11,000 | thousands by filing date | |
| SLEEP NUMBER CORP | 83125X103 | COM D | 300 | $11,000 | thousands by filing date | put |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 500 | $11,000 | thousands by filing date | put |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 3,400 | $11,000 | thousands by filing date | call |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 1,900 | $11,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 3,309 | $11,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 4,025 | $11,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 754 | $11,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 4,500 | $11,000 | thousands by filing date | call |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 155 | $11,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 382 | $11,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 1,040 | $11,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E855 | INSIGHTSHARES | 450 | $11,000 | thousands by filing date | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 204 | $10,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 570 | $10,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 100 | $10,000 | thousands by filing date | call |
| INVESCO EXCHANGE TRADED FD T | 46137V274 | S&P500 EQL UTL | 111 | $10,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 156 | $10,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 2,100 | $10,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 557 | $10,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 415 | $10,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 600 | $10,000 | thousands by filing date | call |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 220 | $10,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 801 | $10,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 2,525 | $10,000 | thousands by filing date | |
| TOTAL SYS SVCS INC | 891906109 | COM | 100 | $10,000 | thousands by filing date | call |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 400 | $10,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 556 | $10,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 1,725 | $10,000 | thousands by filing date | |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 600 | $10,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X101 | COM | 100 | $10,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 775 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 300 | $10,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767835 | MSCI ALL CHINA | 430 | $10,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 7,200 | $10,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 20,600 | $10,000 | thousands by filing date | call |
| MOBILE MINI INC | 60740F105 | COM | 236 | $10,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 625 | $10,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,790 | $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 | |
| LIBBEY INC | 529898108 | COM | 1,165 | $10,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 1,825 | $10,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 13,000 | $10,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 9,700 | $10,000 | thousands by filing date | call |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 974 | $10,000 | thousands by filing date | |
| Goldman Sachs Access Treasury 0-1 Year ETF | 381430529 | SHS | 87 | $9,000 | thousands by filing date | |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 200 | $9,000 | thousands by filing date | call |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 73 | $9,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 2,000 | $9,000 | thousands by filing date | call |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 2,200 | $9,000 | thousands by filing date | call |
| INVESCO EXCH TRADED FD TR II | 46138E610 | KBW HIG DV YLD | 400 | $9,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 700 | $9,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 782 | $9,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 472 | $9,000 | thousands by filing date | |
| OXFORD INDS INC | 691497309 | COM | 100 | $9,000 | thousands by filing date | put |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 1,600 | $9,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 250 | $9,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,000 | $9,000 | thousands by filing date | call |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 2,383 | $9,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 20,000 | $9,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 451 | $9,000 | thousands by filing date | |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 1,481 | $9,000 | thousands by filing date | |
| Link Motion Inc | 53577L105 | COM | 13,600 | $9,000 | thousands by filing date | put |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $9,000 | thousands by filing date | call |
| 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 | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 235 | $9,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 1,651 | $9,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 3,483 | $9,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 380 | $9,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 965 | $9,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 600 | $8,000 | thousands by filing date | |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 100 | $8,000 | thousands by filing date | call |
| RADIAN GROUP INC COM | 750236101 | Stock | 400 | $8,000 | thousands by filing date | put |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 65 | $8,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 3,422 | $8,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 500 | $8,000 | thousands by filing date | put |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 369 | $8,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 483 | $8,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 689 | $8,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 930 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 222 | $8,000 | thousands by filing date | |
| INVESCO ENERGY EXPLORATION & PRODUCTION ETF | 46137V761 | ETF | 300 | $8,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 200 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 200 | $8,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 1,550 | $8,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 339 | $8,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 2,000 | $8,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 1,443 | $8,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 800 | $8,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 400 | $8,000 | thousands by filing date | call |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 3,800 | $8,000 | thousands by filing date | call |
| ADVAXIS INC | 007624208 | COM NEW | 8,600 | $8,000 | thousands by filing date | put |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 1,129 | $8,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 1,900 | $8,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 2,200 | $8,000 | thousands by filing date | call |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 3,975 | $8,000 | thousands by filing date | |
| ALTA MESA RES INC | 02133L109 | CL A | 1,884 | $8,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 3,000 | $8,000 | thousands by filing date | call |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 345 | $8,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 865 | $8,000 | thousands by filing date | |
| RA MED SYS INC | 74933X104 | COM | 451 | $8,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 200 | $7,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 140 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 348 | $7,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 400 | $7,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 500 | $7,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 298 | $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 | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 200 | $7,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 84 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 200 | $7,000 | thousands by filing date | |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 300 | $7,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 3,100 | $7,000 | thousands by filing date | call |
| FLOTEK INDS INC DEL | 343389102 | COM | 3,100 | $7,000 | thousands by filing date | put |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 1,000 | $7,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 1,303 | $7,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 1,944 | $7,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 508 | $7,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 263 | $7,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 1,000 | $7,000 | thousands by filing date | |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 7,000 | $7,000 | thousands by filing date | principal |
| CARVANA CO CL A | 146869102 | Stock | 100 | $6,000 | thousands by filing date | put |
| SKYWEST INC COM | 830879102 | Stock | 100 | $6,000 | thousands by filing date | put |
| SKYWEST INC COM | 830879102 | Stock | 100 | $6,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 100 | $6,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 102 | $6,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 300 | $6,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 500 | $6,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 468 | $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 | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 300 | $6,000 | thousands by filing date | put |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 453 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 294 | $6,000 | thousands by filing date | |
| INVESCO MSCI SUSTAINABLEFUTURE ETF | 46137V407 | ETF | 145 | $6,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 468 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 94 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 100 | $6,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A309 | COM PAR | 1,300 | $6,000 | thousands by filing date | put |
| 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 | |
| Link Motion Inc | 53577L105 | COM | 8,700 | $6,000 | thousands by filing date | call |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 600 | $6,000 | thousands by filing date | call |
| Seadrill Partners, LLC | Y7545W109 | LTD | 1,623 | $6,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 200 | $6,000 | thousands by filing date | call |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 600 | $6,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 4,100 | $6,000 | thousands by filing date | call |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y409 | PRIN HLTHCRE INV | 151 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V555 | INSIDER SENMNT | 92 | $6,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 1,260 | $6,000 | thousands by filing date | call |
| VISTRA CORP COM | 92840M102 | Stock | 195 | $5,000 | thousands by filing date | put |
| RAPID7 INC COM | 753422104 | Stock | 144 | $5,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 666 | $5,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 300 | $5,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 187 | $5,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 200 | $5,000 | thousands by filing date | put |
| BROWN FORMAN CORP | 115637100 | CL A | 101 | $5,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 375 | $5,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 700 | $5,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 116 | $5,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 200 | $5,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES SWISS | 46138R108 | SWISS FRANC | 48 | $5,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 100 | $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 | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 400 | $5,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 400 | $5,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 450 | $5,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 300 | $5,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 589 | $5,000 | 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 |