13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-02-12, with 7,729 holding rows worth $98,726,534,000.
- Accession
- 0000831001-19-000023
- Filer
- CIK 831001
- Filed
- 2019-02-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A holdings report, 16,740 entries on the cover page, a total value of $98,726,534,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $98,726,534,000 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 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 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 Holdings Bahamas Ltd028-19110
- included managerCitigroup Global Markets Holdings Inc.028-01109
- included managerCitigroup Global Markets Inc.028-00541
- included managerCitigroup Global Markets Ltd028-04309
- 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 |
|---|---|---|---|---|---|---|
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 2,427 | $15,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 1,322 | $15,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 299 | $15,000 | thousands by filing date | |
| ABRDN SILVER ETF TRUST | 003264108 | PHYSCL SILVR SHS | 1,000 | $15,000 | thousands by filing date | put |
| KOSMOS ENERGY LTD | 500688106 | COM | 3,800 | $15,000 | thousands by filing date | call |
| STONECO LTD | G85158106 | COM CL A | 800 | $15,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 760 | $15,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 1,415 | $15,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 2,900 | $15,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 766 | $15,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 1,576 | $15,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 800 | $15,000 | thousands by filing date | call |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 410 | $15,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J775 | BLOO PRI PWR ETF | 340 | $15,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 384 | $15,000 | thousands by filing date | |
| DSW INC-CLASS A | 23334L102 | CL A | 600 | $15,000 | thousands by filing date | call |
| ARRIS INTL INC SHS | G0551A103 | SHS | 500 | $15,000 | thousands by filing date | put |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 1,200 | $15,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 40,101 | $15,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 37,881 | $15,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 1,279 | $15,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 6,500 | $15,000 | thousands by filing date | call |
| NUVEEN GA DIVID | 67072B107 | COM | 1,401 | $15,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 570 | $15,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 1,113 | $15,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J304 | BULSHS 2019 CB | 700 | $15,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y805 | ETF | 300 | $15,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 300 | $14,000 | thousands by filing date | call |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 1,600 | $14,000 | thousands by filing date | call |
| RIMINI STR INC DEL | 76674Q107 | COM | 2,719 | $14,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 3,649 | $14,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 2,467 | $14,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 1,700 | $14,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,050 | $14,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 500 | $14,000 | thousands by filing date | call |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 1,198 | $14,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 2,260 | $14,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 4,296 | $14,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 5,980 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 650 | $14,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 3,312 | $14,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 100 | $14,000 | thousands by filing date | call |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 6,300 | $14,000 | thousands by filing date | call |
| GLOBALSTAR INC | 378973408 | COM | 20,994 | $14,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 3,271 | $14,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 1,500 | $14,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 4,700 | $14,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 4,166 | $14,000 | thousands by filing date | |
| WTS/HUNTER MARITIME ACQUISITIEXP12/31/2021 | Y37828129 | WARR | 108,100 | $14,000 | thousands by filing date | call |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 2,664 | $14,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 150 | $14,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 17,000 | $14,000 | thousands by filing date | principal |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 500 | $13,000 | thousands by filing date | |
| CASEYS GEN STORES INC | 147528103 | COM | 100 | $13,000 | thousands by filing date | put |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 850 | $13,000 | thousands by filing date | |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 200 | $13,000 | thousands by filing date | put |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 200 | $13,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 300 | $13,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 517 | $13,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 2,000 | $13,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 434 | $13,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 351 | $13,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 700 | $13,000 | thousands by filing date | put |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 400 | $13,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 546 | $13,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 2,214 | $13,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,090 | $13,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 1,057 | $13,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 7,700 | $13,000 | thousands by filing date | put |
| CSS INDS INC | 125906107 | COMMON STOCK | 1,413 | $13,000 | thousands by filing date | |
| RYB ED INC | 74979W101 | ADR | 2,168 | $13,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 4,010 | $13,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 1,660 | $13,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 2,000 | $13,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 1,010 | $13,000 | thousands by filing date | call |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 8,452 | $13,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 515 | $13,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 14,000 | $13,000 | thousands by filing date | principal |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 9,119 | $13,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 1,680 | $12,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 5,077 | $12,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 1,900 | $12,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 700 | $12,000 | thousands by filing date | call |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 1,395 | $12,000 | thousands by filing date | |
| PATTERSON COS INC | 703395103 | COM | 600 | $12,000 | thousands by filing date | put |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 928 | $12,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 449 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 663 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,000 | $12,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 917 | $12,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FUND TRUST INVESCO DORSEY WRIGHT UTILITIES MOMENTUM ETF | 46137V795 | ETF | 400 | $12,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 2,800 | $12,000 | thousands by filing date | call |
| FLOTEK INDS INC DEL | 343389102 | COM | 10,700 | $12,000 | thousands by filing date | call |
| VBI VACCINES INC | 91822J103 | COM NEW | 7,762 | $12,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 1,171 | $12,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 1,100 | $12,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 3,356 | $12,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 300 | $12,000 | thousands by filing date | put |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 750 | $12,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 1,000 | $12,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 4,247 | $12,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 9,028 | $12,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 1,669 | $12,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 5,422 | $12,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 10,156 | $12,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 1,505 | $12,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | G4182A128 | *W EXP 10/25/202 | 15,000 | $12,000 | thousands by filing date | call |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 6,300 | $11,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 217 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 271 | $11,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 2,053 | $11,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 767 | $11,000 | thousands by filing date | |
| SITE CENTERS CORP | 82981J109 | COM | 1,000 | $11,000 | thousands by filing date | put |
| SEATTLE GENETICS INC | 812578102 | COM | 200 | $11,000 | thousands by filing date | call |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 500 | $11,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 700 | $11,000 | thousands by filing date | call |
| EQUILLIUM INC | 29446K106 | COM | 1,360 | $11,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 169 | $11,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 389 | $11,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 550 | $11,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 457 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 300 | $11,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 500 | $11,000 | thousands by filing date | put |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 15,400 | $11,000 | thousands by filing date | put |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 1,729 | $11,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 1,897 | $11,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 2,889 | $11,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 2,062 | $11,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 241 | $11,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 384 | $11,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 4,300 | $11,000 | thousands by filing date | call |
| RTW RETAILWINDS INC | 74980D100 | COM | 3,813 | $11,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 1,040 | $11,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 91 | $10,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 330 | $10,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 100 | $10,000 | thousands by filing date | put |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 350 | $10,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 1,442 | $10,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 100 | $10,000 | thousands by filing date | put |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 400 | $10,000 | thousands by filing date | |
| VISTRA CORP COM | 92840M102 | Stock | 455 | $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 | 33939L407 | MORNSTAR UPSTR | 354 | $10,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 2,100 | $10,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 670 | $10,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E743 | RAFI DVLPD MRKTS | 258 | $10,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 400 | $10,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 500 | $10,000 | thousands by filing date | put |
| CVR ENERGY, INC. | 12662P108 | COM | 300 | $10,000 | thousands by filing date | put |
| SIGNATURE BANK | 82669G104 | COM | 100 | $10,000 | thousands by filing date | call |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 801 | $10,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 2,000 | $10,000 | thousands by filing date | put |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 642 | $10,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 562 | $10,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 2,852 | $10,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 1,725 | $10,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT INDUSTRIALS MOMENTUM ETF | 46137V845 | ETF | 200 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 226 | $10,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 300 | $10,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 1,000 | $10,000 | thousands by filing date | call |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 1,700 | $10,000 | thousands by filing date | put |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 100 | $10,000 | thousands by filing date | put |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 1,162 | $10,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 2,635 | $10,000 | thousands by filing date | |
| O'Shares Global Internet | 67110P704 | COM | 500 | $10,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 2,384 | $10,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 13,578 | $10,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 12,104 | $10,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 1,500 | $10,000 | thousands by filing date | call |
| Ampio Pharmaceuticals | 03209T109 | COM | 24,600 | $10,000 | thousands by filing date | call |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 800 | $10,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 6,700 | $10,000 | thousands by filing date | call |
| ELECTROCORE INC | 28531P103 | COM | 1,591 | $10,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 3,388 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 155 | $10,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 1,071 | $10,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 2,601 | $10,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 1,473 | $10,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 5,000 | $10,000 | thousands by filing date | |
| MEDICAL TRANSCRIPTION BLG CO | 58464J105 | COM | 2,500 | $10,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E855 | INSIGHTSHARES | 450 | $10,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 100 | $9,000 | thousands by filing date | put |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 100 | $9,000 | thousands by filing date | call |
| COCA-COLA EUROPACIFIC PARTNERS SHS | G25839104 | Stock | 200 | $9,000 | thousands by filing date | put |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 65 | $9,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 156 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 150 | $9,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 108 | $9,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 800 | $9,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 416 | $9,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 200 | $9,000 | thousands by filing date | call |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 800 | $9,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 1,006 | $9,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 400 | $9,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 806 | $9,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 975 | $9,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 3,480 | $9,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 497 | $9,000 | thousands by filing date | |
| DB COMMODITY INDEX TRACKING | 46138B103 | ETF | 600 | $9,000 | thousands by filing date | call |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 602 | $9,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 135 | $9,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 2,600 | $9,000 | thousands by filing date | call |
| VERITONE INC | 92347M100 | COM | 2,233 | $9,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 737 | $9,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 5,000 | $9,000 | thousands by filing date | call |
| TRAVELZOO | 89421Q205 | CMN | 888 | $9,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 789 | $9,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 700 | $9,000 | thousands by filing date | put |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 2,700 | $9,000 | thousands by filing date | put |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 3,438 | $9,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 13,700 | $9,000 | thousands by filing date | call |
| OI SA-ADR | 670851500 | ADR | 5,692 | $9,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 2,400 | $9,000 | thousands by filing date | put |
| CALLON PETE CO DEL | 13123X102 | COM | 1,400 | $9,000 | thousands by filing date | put |
| TIDEWATER INC NEW | 88642R117 | WARR | 5,664 | $9,000 | thousands by filing date | call |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 1,900 | $9,000 | thousands by filing date | put |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 10,026 | $9,000 | thousands by filing date | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 400 | $9,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 650 | $9,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 7,155 | $9,000 | thousands by filing date | |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 11,331 | $9,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 935 | $9,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 4,056 | $9,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 4,800 | $9,000 | thousands by filing date | call |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 1,662 | $9,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 73 | $8,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 250 | $8,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 300 | $8,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 193 | $8,000 | thousands by filing date | |
| ICHOR HOLDINGS | G4740B105 | SHS | 500 | $8,000 | thousands by filing date | call |
| MERCER INTL INC | 588056101 | COM | 778 | $8,000 | thousands by filing date | |
| TOTAL SYS SVCS INC | 891906109 | COM | 100 | $8,000 | thousands by filing date | put |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 300 | $8,000 | thousands by filing date | put |
| AMPLIFY ETF TR | 032108102 | CMN | 200 | $8,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A110 | CMN | 100 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 300 | $8,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 980 | $8,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 2,400 | $8,000 | thousands by filing date | put |
| EXPRESS INC | 30219E103 | COMMON STOCK | 1,500 | $8,000 | thousands by filing date | put |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 2,300 | $8,000 | thousands by filing date | put |
| HANGER INC | 41043F208 | COMMON STOCK | 445 | $8,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 1,705 | $8,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 3,641 | $8,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 5,431 | $8,000 | thousands by filing date | call |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 9,213 | $8,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 4,900 | $8,000 | thousands by filing date | put |
| Pimco Income Oppty Fund | 72202B100 | COM | 325 | $8,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 4,025 | $8,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 4,000 | $8,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 900 | $8,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 2,133 | $8,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 4,123 | $8,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 7,700 | $8,000 | thousands by filing date | put |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 600 | $8,000 | thousands by filing date | put |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 340 | $8,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 553 | $7,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 100 | $7,000 | thousands by filing date | put |
| ELASTIC N V ORD SHS | N14506104 | Stock | 91 | $7,000 | thousands by filing date | |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 100 | $7,000 | thousands by filing date | put |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 100 | $7,000 | thousands by filing date | call |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 100 | $7,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 3,427 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V647 | SEMICONDUCTORS | 150 | $7,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 357 | $7,000 | thousands by filing date | |
| EDGEWELL PERSONAL CARE CO | 28035Q102 | COM | 200 | $7,000 | thousands by filing date | put |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 687 | $7,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 618 | $7,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 782 | $7,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 288 | $7,000 | thousands by filing date | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 77 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 222 | $7,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 100 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 250 | $7,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 200 | $7,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 196 | $7,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 1,828 | $7,000 | thousands by filing date | |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 300 | $7,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 14,327 | $7,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 2,000 | $7,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 1,000 | $7,000 | thousands by filing date | |
| INFINERA CORP | 45667GAC7 | BOND | 9,000 | $7,000 | thousands by filing date | principal |
| PROFIRE ENERGY INC | 74316X101 | COM | 4,999 | $7,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 300 | $7,000 | thousands by filing date | call |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $7,000 | thousands by filing date | call |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 221 | $7,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 7,340 | $7,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 1,983 | $7,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 4,694 | $7,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 4,314 | $7,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 60 | $6,000 | thousands by filing date | |
| VALMONT INDS INC COM | 920253101 | Stock | 59 | $6,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 877 | $6,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 3,200 | $6,000 | thousands by filing date | call |
| INVESCO EXCH TRADED FD TR II | 46138E610 | KBW HIG DV YLD | 300 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 348 | $6,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 249 | $6,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 100 | $6,000 | thousands by filing date | put |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 400 | $6,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 841 | $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 | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 800 | $6,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 864 | $6,000 | thousands by filing date | |
| CATALENT INC USD 0.01 | 148806102 | COM | 183 | $6,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 442 | $6,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 930 | $6,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 1,482 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V878 | DORSEY WRGT ENRG | 193 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 94 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 200 | $6,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 3,504 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 200 | $6,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 6,000 | $6,000 | thousands by filing date | principal |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 348 | $6,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 7,200 | $6,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 14,354 | $6,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 455 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 576 | $6,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 2,000 | $6,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 31,234 | $6,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 600 | $6,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 1,944 | $6,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 4,000 | $6,000 | thousands by filing date | put |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 7,500 | $6,000 | thousands by filing date | put |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 4,200 | $6,000 | thousands by filing date | put |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 508 | $6,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 3,600 | $6,000 | thousands by filing date | put |
| OPHTHOTECH CORP | 683745103 | COM | 5,400 | $6,000 | thousands by filing date | call |
| ESTRE AMBIENTAL INC WT EXP 122 | G3206V118 | WT | 100,000 | $6,000 | thousands by filing date | call |
| CELLECT BIOTECHNOLOGY LTD | 15116C110 | *W EXP 08/03/202 | 9,000 | $6,000 | thousands by filing date | call |
| PULMATRIX INC | 74584P103 | COM | 25,185 | $6,000 | thousands by filing date | |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 200 | $5,000 | thousands by filing date | put |
| LKQ CORP COM | 501889208 | Stock | 200 | $5,000 | thousands by filing date | call |
| BANK OZK LITTLE ROCK ARK COM | 06417N103 | Stock | 200 | $5,000 | thousands by filing date | call |
| TEGNA INC COM | 87901J105 | Stock | 500 | $5,000 | thousands by filing date | put |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 530 | $5,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 200 | $5,000 | thousands by filing date | |
| OCEANEERING INTL INC | 675232102 | COM | 400 | $5,000 | thousands by filing date | call |
| ONESPAN INC | 68287N100 | COM | 400 | $5,000 | thousands by filing date | put |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 100 | $5,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 300 | $5,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 405 | $5,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 100 | $5,000 | thousands by filing date | call |
| MEDLEY CAP CORP | 58503F106 | COM | 2,025 | $5,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 450 | $5,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 737 | $5,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 1,600 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 59 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 294 | $5,000 | thousands by filing date | |
| INVESCO MSCI SUSTAINABLEFUTURE ETF | 46137V407 | ETF | 145 | $5,000 | thousands by filing date | |
| INVESCO ENERGY EXPLORATION & PRODUCTION ETF | 46137V761 | ETF | 300 | $5,000 | thousands by filing date | |
| JPMorgan BetaBuilders Canada E | 46641Q696 | COM | 222 | $5,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 390 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 271 | $5,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 84 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 100 | $5,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 1,500 | $5,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 1,300 | $5,000 | thousands by filing date | call |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 627 | $5,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 100 | $5,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 100 | $5,000 | thousands by filing date | put |
| O'Shares FTSE U.S. Quality Divid | 67110P407 | COM | 150 | $5,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 591 | $5,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 400 | $5,000 | thousands by filing date | put |
| BRIGGS & STRATTON CORP | 109043109 | COM | 400 | $5,000 | thousands by filing date | call |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 5,900 | $5,000 | thousands by filing date | call |
| LIBBEY INC | 529898108 | COM | 1,398 | $5,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 1,460 | $5,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 3,148 | $5,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 962 | $5,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 96 | $5,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 12,419 | $5,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V555 | INSIDER SENMNT | 92 | $5,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 2,000 | $5,000 | thousands by filing date | principal |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 489 | $5,000 | thousands by filing date | |
| ISHARES TR | 46434V720 | MIN VOL EUROPE | 200 | $5,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 1,000 | $5,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 2,431 | $5,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 2,693 | $5,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 1,673 | $5,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 151 | $4,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 600 | $4,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 900 | $4,000 | thousands by filing date | put |
| GENTEX CORP COM | 371901109 | Stock | 200 | $4,000 | thousands by filing date | call |
| SKYWEST INC COM | 830879102 | Stock | 100 | $4,000 | thousands by filing date | call |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 100 | $4,000 | thousands by filing date | call |
| VISTRA CORP COM | 92840M102 | Stock | 195 | $4,000 | thousands by filing date | put |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 666 | $4,000 | thousands by filing date | |
| ARVINAS INC | 04335A105 | COM | 295 | $4,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 375 | $4,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 290 | $4,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 200 | $4,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 600 | $4,000 | thousands by filing date | call |
| GOLUB CAP BDC INC | 38173M102 | COM | 223 | $4,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 148 | $4,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 200 | $4,000 | thousands by filing date | put |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 500 | $4,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 400 | $4,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 935 | $4,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 400 | $4,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 400 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 200 | $4,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 100 | $4,000 | thousands by filing date | call |
| BROOKDALE SR LIVING INC | 112463104 | COM | 600 | $4,000 | thousands by filing date | put |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 2,300 | $4,000 | thousands by filing date | put |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 300 | $4,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 418 | $4,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E123 | S&P SMLCP INDL | 70 | $4,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 200 | $4,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 589 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 103 | $4,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 400 | $4,000 | thousands by filing date | call |
| HORTONWORKS INC | 440894103 | COM | 300 | $4,000 | thousands by filing date | call |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 1,100 | $4,000 | thousands by filing date | call |
| SILVERBOW RES INC | 82836G102 | COM | 166 | $4,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 800 | $4,000 | thousands by filing date | call |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 179 | $4,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 2,354 | $4,000 | thousands by filing date | |
| NUTRI SYS INC NEW | 67069D108 | COM | 100 | $4,000 | thousands by filing date | put |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 1,000 | $4,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 40,800 | $4,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 350 | $4,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 1,000 | $4,000 | thousands by filing date | principal |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 300 | $4,000 | thousands by filing date | |
| INVSC RAFI US 1500 SML MID ETF | 46137V209 | ETF | 115 | $4,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 300 | $4,000 | thousands by filing date | put |
| RUBICON PROJ INC | 78112V102 | COM | 1,086 | $4,000 | thousands by filing date | |
| SOLARWINDS CORP | 83417Q105 | COM | 284 | $4,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 500 | $4,000 | thousands by filing date | put |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 1,063 | $4,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 170 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W463 | JAPAN HDG FINL | 200 | $4,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406152 | COM VAR VTG | 2,700 | $4,000 | thousands by filing date | |
| SPDR SER TR | 78468R127 | S&P INTERNET ETF | 49 | $4,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 3,975 | $4,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 13,000 | $4,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 8,300 | $4,000 | thousands by filing date | call |
| FANG HOLDING-ADR | 30711Y102 | ADR | 2,900 | $4,000 | thousands by filing date | call |
| LAIX INC | 50736W105 | ADS | 467 | $4,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 279 | $4,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 22,500 | $4,000 | thousands by filing date | call |
| iShares International Equity Factor ETF | 46434V274 | SHS | 119 | $3,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 70 | $3,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 100 | $3,000 | thousands by filing date | put |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 200 | $3,000 | thousands by filing date | call |
| RADIAN GROUP INC COM | 750236101 | Stock | 200 | $3,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 77 | $3,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 115 | $3,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 55 | $3,000 | thousands by filing date | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 210 | $3,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 1,653 | $3,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 100 | $3,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 50 | $3,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 625 | $3,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 600 | $3,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 76 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R811 | NASDQ SEMCNDTR | 100 | $3,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 346 | $3,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 700 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 403 | $3,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 300 | $3,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 260 | $3,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 200 | $3,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 300 | $3,000 | thousands by filing date | put |
| BEACON ROOFING SUPPLY INC | 073685109 | COM | 100 | $3,000 | thousands by filing date | call |
| Rafael Holdings Inc Class B | 75062E106 | COM | 421 | $3,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 178 | $3,000 | thousands by filing date | |
| CLPS INCORPORATION | G31642104 | COM | 1,200 | $3,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A309 | COM PAR | 1,200 | $3,000 | thousands by filing date | put |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 500 | $3,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 100 | $3,000 | thousands by filing date | call |
| CHINA FD INC | 169373107 | COM | 207 | $3,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 7,200 | $3,000 | thousands by filing date | put |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 200 | $3,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 2,000 | $3,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 40 | $3,000 | thousands by filing date | put |
| AETERNA ZENTARIS INC | 007975402 | COM | 1,000 | $3,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 20,557 | $3,000 | thousands by filing date | |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 3,000 | $3,000 | thousands by filing date | principal |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 3,000 | $3,000 | thousands by filing date | principal |
| PPDAI GROUP INC | 69354V108 | SPONSORED ADR | 882 | $3,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 2,000 | $3,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 5,658 | $3,000 | thousands by filing date | |
| Arsanis Inc | 042873109 | COM | 1,369 | $3,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 341 | $3,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 4,668 | $3,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 994 | $2,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 100 | $2,000 | thousands by filing date | call |
| SANMINA CORP COM | 801056102 | Stock | 100 | $2,000 | thousands by filing date | call |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 100 | $2,000 | thousands by filing date | call |
| NOMAD FOODS LTD USD ORD SHS | G6564A105 | Stock | 144 | $2,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 76 | $2,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 112 | $2,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 300 | $2,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 60 | $2,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 95 | $2,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P607 | NUVEEN ESG SMLCP | 100 | $2,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 177 | $2,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E727 | RAFI EMRGNG MRKT | 105 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-19-000023 | this filing | 2019-02-12 | acceptance time not in the bulk data set |