13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2019-03-31, filed 2019-05-13, with 7,703 holding rows worth $103,746,773,000.
- Accession
- 0000831001-19-000055
- Filer
- CIK 831001
- Filed
- 2019-05-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2019
A holdings report, 16,750 entries on the cover page, a total value of $103,746,773,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $103,746,773,000 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 |
|---|---|---|---|---|---|---|
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 3,607 | $19,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S304 | COM NEW | 2,799 | $19,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 2,409 | $19,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 6,951 | $19,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 1,322 | $18,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 974 | $18,000 | thousands by filing date | |
| SENSATA TECHNOLOGIES HLDG PL | g8060n102 | SHS | 400 | $18,000 | thousands by filing date | put |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 1,500 | $18,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 200 | $18,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 12,557 | $18,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 500 | $18,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 2,949 | $18,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 325 | $18,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 716 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 1,364 | $18,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 297 | $18,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 24 | $18,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 13,227 | $18,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 13,200 | $18,000 | thousands by filing date | put |
| TIVITY HEALTH INC | 88870R102 | COM | 1,050 | $18,000 | thousands by filing date | put |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 2,395 | $18,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 12,761 | $18,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 5,800 | $18,000 | thousands by filing date | put |
| ISHARES TR | 46434V720 | MIN VOL EUROPE | 734 | $18,000 | thousands by filing date | |
| MODERNA INC | 60770K107 | COM | 824 | $17,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 895 | $17,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 5,579 | $17,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 518 | $17,000 | thousands by filing date | |
| KODIAK SCIENCES INC | 50015M109 | COM | 2,537 | $17,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 1,419 | $17,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 766 | $17,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 871 | $17,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 713 | $17,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,000 | $17,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 700 | $17,000 | thousands by filing date | put |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 3,488 | $17,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 450 | $17,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 9,754 | $17,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 1,263 | $17,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 1,259 | $17,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 3,409 | $17,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 1,086 | $17,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 30,700 | $17,000 | thousands by filing date | put |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 22,205 | $17,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 1,700 | $17,000 | thousands by filing date | put |
| VONAGE HLDGS CORP | 92886T201 | COM | 1,700 | $17,000 | thousands by filing date | call |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 4,700 | $17,000 | thousands by filing date | put |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 3,017 | $17,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 3,614 | $17,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 24,948 | $17,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 1,401 | $17,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 4,217 | $17,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 141 | $16,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 5,382 | $16,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 7,900 | $16,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 1,229 | $16,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E628 | KBW BK ETF | 329 | $16,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 300 | $16,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 760 | $16,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 2,509 | $16,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 3,313 | $16,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 410 | $16,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 384 | $16,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,090 | $16,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 8,278 | $16,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 1,200 | $16,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 4,938 | $16,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 1,300 | $16,000 | thousands by filing date | call |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 1,606 | $16,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 3,451 | $16,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 12,700 | $16,000 | thousands by filing date | call |
| NEWLINK GENETICS CORP | 651511107 | COM | 8,370 | $16,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 330 | $16,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 1,293 | $16,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 2,062 | $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 | 775 | $16,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 2,352 | $16,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 150 | $16,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E855 | INSIGHTSHARES | 675 | $16,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 294 | $15,000 | thousands by filing date | |
| MATADOR RES CO COM | 576485205 | Stock | 800 | $15,000 | thousands by filing date | put |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 4,700 | $15,000 | thousands by filing date | call |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 216 | $15,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 108 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 300 | $15,000 | thousands by filing date | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 1,050 | $15,000 | thousands by filing date | |
| ISHARES TR | 46435G433 | MSCI USA SMCP MN | 468 | $15,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 3,746 | $15,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 1,667 | $15,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 1,700 | $15,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,050 | $15,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 200 | $15,000 | thousands by filing date | call |
| BANK7 CORP | 06652N107 | COMMON STOCK | 859 | $15,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 3,800 | $15,000 | thousands by filing date | put |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 400 | $15,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 500 | $15,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 130 | $15,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 300 | $15,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 1,600 | $15,000 | thousands by filing date | put |
| VBI VACCINES INC | 91822J103 | COM NEW | 7,762 | $15,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 2,240 | $15,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $15,000 | thousands by filing date | principal |
| MUSTANG BIO INC | 62818Q104 | COM | 4,366 | $15,000 | thousands by filing date | |
| SOLARWINDS CORP | 83417Q105 | COM | 784 | $15,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 14,100 | $15,000 | thousands by filing date | call |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 1,450 | $15,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 7,853 | $15,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 2,288 | $15,000 | thousands by filing date | |
| FUSION CONNECT INC | 36116X102 | COM | 11,620 | $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 | 325 | $14,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 500 | $14,000 | thousands by filing date | call |
| SCORPIO TANKERS INC | Y7542C130 | SHS | 700 | $14,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 1,115 | $14,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 2,838 | $14,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 2,000 | $14,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 700 | $14,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 1,185 | $14,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 2,467 | $14,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 300 | $14,000 | thousands by filing date | put |
| SITE CENTERS CORP | 82981J109 | COM | 1,000 | $14,000 | thousands by filing date | put |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 729 | $14,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 1,173 | $14,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 1,100 | $14,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 310 | $14,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 732 | $14,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 280 | $14,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 2,000 | $14,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 4,174 | $14,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 14,327 | $14,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 300 | $14,000 | thousands by filing date | call |
| RYB ED INC | 74979W101 | ADR | 2,168 | $14,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 13,870 | $14,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 600 | $14,000 | thousands by filing date | call |
| EVOGENE LTD | M4119S104 | SHS | 7,976 | $14,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 12,034 | $14,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 130 | $13,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 100 | $13,000 | thousands by filing date | put |
| CAMTEK LTD ORD | M20791105 | Stock | 1,442 | $13,000 | thousands by filing date | |
| LEVI STRAUSS & CO NEW CL A COM STK | 52736R102 | Stock | 552 | $13,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 820 | $13,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 1,000 | $13,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 229 | $13,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 271 | $13,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 300 | $13,000 | thousands by filing date | put |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 400 | $13,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 2,862 | $13,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 417 | $13,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 434 | $13,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FUND TRUST INVESCO DORSEY WRIGHT UTILITIES MOMENTUM ETF | 46137V795 | ETF | 400 | $13,000 | thousands by filing date | |
| INVESCO DB PRECIOUS METALS FUND | 46140H502 | ETF | 353 | $13,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 980 | $13,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 5,000 | $13,000 | thousands by filing date | call |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 2,424 | $13,000 | thousands by filing date | call |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 1,100 | $13,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 18,520 | $13,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 2,000 | $13,000 | thousands by filing date | put |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 1,000 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 650 | $13,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 5,000 | $13,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 9,853 | $13,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 29,100 | $13,000 | thousands by filing date | call |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 3,136 | $13,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 2,402 | $13,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 850 | $12,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 500 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 85 | $12,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 1,014 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 150 | $12,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 670 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 801 | $12,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 2,300 | $12,000 | thousands by filing date | call |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 500 | $12,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 1,000 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,000 | $12,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 3,970 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 389 | $12,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 1,725 | $12,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT INDUSTRIALS MOMENTUM ETF | 46137V845 | ETF | 200 | $12,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 2,600 | $12,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 1,130 | $12,000 | thousands by filing date | |
| JPMorgan BetaBuilders Canada E | 46641Q696 | COM | 485 | $12,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 300 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 300 | $12,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 2,600 | $12,000 | thousands by filing date | put |
| O'Shares Global Internet | 67110P704 | COM | 500 | $12,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 4,028 | $12,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 6,495 | $12,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 8,100 | $12,000 | thousands by filing date | call |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 241 | $12,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 8,958 | $12,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 650 | $12,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 384 | $12,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 3,900 | $12,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 1,040 | $12,000 | thousands by filing date | |
| ESTRE AMBIENTAL INC WT EXP 122 | G3206V118 | WT | 100,000 | $12,000 | thousands by filing date | call |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 12,000 | $12,000 | thousands by filing date | principal |
| STANDARD DIVERSIFIED INC | 85336L109 | COM CL A | 631 | $12,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 1,768 | $12,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 142 | $11,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 330 | $11,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 1,100 | $11,000 | thousands by filing date | call |
| SMITH A O CORP COM | 831865209 | Stock | 200 | $11,000 | thousands by filing date | put |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 300 | $11,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 2,200 | $11,000 | thousands by filing date | call |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 5,600 | $11,000 | thousands by filing date | put |
| INVESCO EXCHANGE TRADED FD T | 46137V274 | S&P500 EQL UTL | 112 | $11,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 248 | $11,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 875 | $11,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 2,100 | $11,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 700 | $11,000 | thousands by filing date | put |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 1,000 | $11,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 750 | $11,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 1,987 | $11,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 500 | $11,000 | thousands by filing date | call |
| UROGEN PHARMA LTD | M96088105 | COMMON STOCK | 308 | $11,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 2,666 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 263 | $11,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 2,700 | $11,000 | thousands by filing date | call |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 76 | $11,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 1,397 | $11,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J775 | BLOO PRI PWR ETF | 230 | $11,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 3,843 | $11,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 550 | $11,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 500 | $11,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 15,028 | $11,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 3,500 | $11,000 | thousands by filing date | call |
| OI SA-ADR | 670851500 | ADR | 5,692 | $11,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 4,000 | $11,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 2,974 | $11,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 7,600 | $11,000 | thousands by filing date | put |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 800 | $11,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 452 | $11,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 2,706 | $11,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 1,000 | $11,000 | thousands by filing date | put |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 1,000 | $11,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 10,600 | $11,000 | thousands by filing date | put |
| NANTKWEST INC | 63016Q102 | COM | 6,962 | $11,000 | thousands by filing date | |
| MTBC INC | 55378G102 | COM | 2,500 | $11,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 100 | $10,000 | thousands by filing date | put |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 2,000 | $10,000 | thousands by filing date | put |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 2,600 | $10,000 | thousands by filing date | call |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 800 | $10,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E743 | RAFI DVLPD MRKTS | 258 | $10,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 356 | $10,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 801 | $10,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 645 | $10,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 568 | $10,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 689 | $10,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E180 | S&P SMLCP DISC | 172 | $10,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,400 | $10,000 | thousands by filing date | call |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 789 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 300 | $10,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 6,266 | $10,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 8,400 | $10,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 900 | $10,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 7,578 | $10,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 187 | $10,000 | thousands by filing date | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 400 | $10,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 9,300 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 155 | $10,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V555 | INSIDER SENMNT | 154 | $10,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 3,300 | $10,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 1,000 | $10,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 418 | $10,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 5,577 | $10,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 15,200 | $10,000 | thousands by filing date | call |
| CELLECT BIOTECHNOLOGY LTD | 15116C102 | SPON ADS | 9,740 | $10,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 989 | $10,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 4,253 | $10,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 250 | $9,000 | thousands by filing date | |
| LITHIA MTRS INC COM | 536797103 | Stock | 100 | $9,000 | thousands by filing date | call |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 165 | $9,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 156 | $9,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 300 | $9,000 | thousands by filing date | put |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 500 | $9,000 | thousands by filing date | put |
| NEXTDECADE CORP | 65342K105 | COM | 1,671 | $9,000 | thousands by filing date | |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 400 | $9,000 | thousands by filing date | put |
| MERCER INTL INC | 588056101 | COM | 638 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 450 | $9,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 537 | $9,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 499 | $9,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 700 | $9,000 | thousands by filing date | call |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 357 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 350 | $9,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 700 | $9,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 200 | $9,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 1,612 | $9,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 2,700 | $9,000 | thousands by filing date | put |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 2,421 | $9,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 12,200 | $9,000 | thousands by filing date | call |
| Pimco Income Oppty Fund | 72202B100 | COM | 325 | $9,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 5,393 | $9,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 38,931 | $9,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 37,600 | $9,000 | thousands by filing date | call |
| Gty Govtech Inc-a | 362409112 | Warrant / Rights | 15,000 | $9,000 | thousands by filing date | call |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 753 | $8,000 | thousands by filing date | |
| MANPOWERGROUP INC WIS COM | 56418H100 | Stock | 100 | $8,000 | thousands by filing date | put |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 100 | $8,000 | thousands by filing date | put |
| GAMING & LEISURE P COM | 36467J108 | REIT | 200 | $8,000 | thousands by filing date | put |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 1,254 | $8,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V647 | SEMICONDUCTORS | 150 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 171 | $8,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 701 | $8,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 200 | $8,000 | thousands by filing date | put |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 200 | $8,000 | thousands by filing date | put |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 782 | $8,000 | thousands by filing date | |
| OXFORD INDS INC | 691497309 | COM | 100 | $8,000 | thousands by filing date | call |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 265 | $8,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 430 | $8,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 589 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 222 | $8,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 100 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 124 | $8,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 250 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 172 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E172 | S&P SMLCP STAP | 100 | $8,000 | thousands by filing date | |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 300 | $8,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 2,000 | $8,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 1,897 | $8,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 3,892 | $8,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $8,000 | thousands by filing date | call |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 1,993 | $8,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 13,000 | $8,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 17,540 | $8,000 | thousands by filing date | |
| Melinta Therapeutics Inc | 58549G209 | Common / Ordinary Stock | 2,228 | $8,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 2,000 | $8,000 | thousands by filing date | principal |
| Prologis,Inc. | 74340W103 | COM | 100 | $7,000 | thousands by filing date | put |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 1,209 | $7,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 600 | $7,000 | thousands by filing date | call |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 100 | $7,000 | thousands by filing date | call |
| INVESCO EXCH TRADED FD TR II | 46138E610 | KBW HIG DV YLD | 300 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 348 | $7,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 103 | $7,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 100 | $7,000 | thousands by filing date | call |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 1,500 | $7,000 | thousands by filing date | put |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 300 | $7,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 500 | $7,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 468 | $7,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 800 | $7,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 100 | $7,000 | thousands by filing date | call |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 689 | $7,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 3,504 | $7,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 291 | $7,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 842 | $7,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 87 | $7,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 205 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 200 | $7,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 187 | $7,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 7,200 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 576 | $7,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 1,000 | $7,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 2,000 | $7,000 | thousands by filing date | put |
| JPMorgan BetaBuilders Europe ETF | 46641Q720 | Exchange Traded Fund | 283 | $7,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 1,944 | $7,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 210 | $7,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 3,600 | $7,000 | thousands by filing date | call |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 508 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K539 | DAILY FINL BEAR | 773 | $7,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 3,468 | $7,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 5,000 | $7,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 1,535 | $7,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 162 | $6,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 510 | $6,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 1,137 | $6,000 | thousands by filing date | |
| JANUS HENDERSON GROUP PLC ORD SHS | G4474Y214 | Stock | 273 | $6,000 | thousands by filing date | |
| LKQ CORP COM | 501889208 | Stock | 200 | $6,000 | thousands by filing date | put |
| RAYONIER INC COM | 754907103 | REIT | 200 | $6,000 | thousands by filing date | call |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 379 | $6,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 200 | $6,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 800 | $6,000 | thousands by filing date | call |
| ABRDN SILVER ETF TRUST | 003264108 | PHYSCL SILVR SHS | 400 | $6,000 | thousands by filing date | put |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 400 | $6,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 300 | $6,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 864 | $6,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 412 | $6,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 930 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 59 | $6,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 275 | $6,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P870 | NUVEEN ESG US | 245 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 294 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V878 | DORSEY WRGT ENRG | 193 | $6,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 85 | $6,000 | thousands by filing date | |
| INVESCO MSCI SUSTAINABLEFUTURE ETF | 46137V407 | ETF | 145 | $6,000 | thousands by filing date | |
| INVESCO ENERGY EXPLORATION & PRODUCTION ETF | 46137V761 | ETF | 300 | $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 | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 392 | $6,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 84 | $6,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 1,000 | $6,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 400 | $6,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 4,400 | $6,000 | thousands by filing date | call |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 700 | $6,000 | thousands by filing date | call |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 684 | $6,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 7,200 | $6,000 | thousands by filing date | put |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 631 | $6,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 200 | $6,000 | thousands by filing date | call |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 40,800 | $6,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 5,700 | $6,000 | thousands by filing date | put |
| ALTA MESA RES INC | 02133L109 | CL A | 24,604 | $6,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 1,000 | $6,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 340 | $6,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 1,400 | $5,000 | thousands by filing date | call |
| AC IMMUNE SA | H00263105 | SHS | 967 | $5,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 600 | $5,000 | thousands by filing date | put |
| BRUNSWICK CORP | 117043109 | COM | 100 | $5,000 | thousands by filing date | call |
| OPKO HEALTH INC | 68375N103 | COM | 2,000 | $5,000 | thousands by filing date | call |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 200 | $5,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 100 | $5,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 500 | $5,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 400 | $5,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 935 | $5,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 337 | $5,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 400 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 200 | $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 | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 1,600 | $5,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 589 | $5,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 1,400 | $5,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 271 | $5,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 1,184 | $5,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 1,679 | $5,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 1,200 | $5,000 | thousands by filing date | call |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 3,438 | $5,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 2,000 | $5,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 100 | $5,000 | thousands by filing date | call |
| FORTUNA MNG CORP F | 349915108 | COM | 1,600 | $5,000 | thousands by filing date | call |
| SOTHERLY HOTELS INC | 83600C103 | COM | 749 | $5,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 1,135 | $5,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 400 | $5,000 | thousands by filing date | put |
| O'Shares FTSE U.S. Quality Divid | 67110P407 | COM | 150 | $5,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 350 | $5,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 1,000 | $5,000 | thousands by filing date | principal |
| CAS MED SYS INC | 124769209 | COM | 2,000 | $5,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 1,000 | $5,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q795 | US DIVIDEND | 200 | $5,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 5,210 | $5,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 1,983 | $5,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 151 | $4,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 200 | $4,000 | thousands by filing date | put |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 1,400 | $4,000 | thousands by filing date | put |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 2,300 | $4,000 | thousands by filing date | put |
| RADIAN GROUP INC COM | 750236101 | Stock | 200 | $4,000 | thousands by filing date | put |
| NEW MTN FIN CORP | 647551100 | COM | 290 | $4,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 1,000 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 55 | $4,000 | thousands by filing date | |
| STONECO LTD | G85158106 | COM CL A | 100 | $4,000 | thousands by filing date | call |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 100 | $4,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 223 | $4,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 233 | $4,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 400 | $4,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 700 | $4,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E123 | S&P SMLCP INDL | 70 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 103 | $4,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 10,200 | $4,000 | thousands by filing date | call |
| CHINA FD INC | 169373107 | COM | 207 | $4,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 700 | $4,000 | thousands by filing date | put |
| APPROACH RESOURCES INC | 03834A103 | COM | 11,216 | $4,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 179 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 210 | $4,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 758 | $4,000 | thousands by filing date | |
| INVSC RAFI US 1500 SML MID ETF | 46137V209 | ETF | 115 | $4,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 170 | $4,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 12,419 | $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 | |
| STEEL CONNECT INC | 858098106 | CMN | 2,000 | $4,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 4,000 | $4,000 | thousands by filing date | principal |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 825 | $4,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 12,180 | $4,000 | thousands by filing date | |
| LEGACY RESVS INC COM | 524706108 | Stock | 7,700 | $4,000 | thousands by filing date | |
| NOMAD FOODS LTD USD ORD SHS | G6564A105 | Stock | 144 | $3,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 100 | $3,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 113 | $3,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 77 | $3,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 194 | $3,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 400 | $3,000 | thousands by filing date | call |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 54 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 65 | $3,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 720 | $3,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 200 | $3,000 | thousands by filing date | put |
| RIVERNORTH OPPOR MUNI INCM FD | 76883F108 | COM | 146 | $3,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 114 | $3,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 146 | $3,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 356 | $3,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 500 | $3,000 | thousands by filing date | put |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 341 | $3,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 700 | $3,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 1,072 | $3,000 | thousands by filing date | |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 202 | $3,000 | thousands by filing date | |
| BEACON ROOFING SUPPLY INC | 073685109 | COM | 100 | $3,000 | thousands by filing date | call |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 176 | $3,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E545 | MSCI GBL TIMBR | 100 | $3,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 500 | $3,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 500 | $3,000 | thousands by filing date | put |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 500 | $3,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 449 | $3,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 268 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-19-000055 | this filing | 2019-05-13 | acceptance time not in the bulk data set |