13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2019-06-30, filed 2019-08-12, with 7,797 holding rows worth $123,793,372,000.
- Accession
- 0000831001-19-000095
- Filer
- CIK 831001
- Filed
- 2019-08-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2019
A holdings report, 16,990 entries on the cover page, a total value of $123,793,372,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $123,793,372,000 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 |
|---|---|---|---|---|---|---|
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 570 | $24,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 3,956 | $24,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 969 | $24,000 | thousands by filing date | |
| SUZANO S A SPON ADS | 86959K105 | ADR | 1,347 | $23,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 6,200 | $23,000 | thousands by filing date | put |
| FRESHPET INC COM | 358039105 | Stock | 500 | $23,000 | thousands by filing date | put |
| DENTSPLY SIRONA INC | 24906P109 | COM | 400 | $23,000 | thousands by filing date | put |
| PROTO LABS INC | 743713109 | COM | 200 | $23,000 | thousands by filing date | put |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 4,409 | $23,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 9,775 | $23,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 1,800 | $23,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 1,312 | $23,000 | thousands by filing date | |
| OXFORD INDS INC | 691497309 | COM | 300 | $23,000 | thousands by filing date | put |
| ISHARES TR | 464287846 | DOW JONES US ETF | 157 | $23,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 8,800 | $23,000 | thousands by filing date | put |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 4,302 | $23,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 1,565 | $23,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 767 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 251 | $23,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 1,100 | $23,000 | thousands by filing date | put |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 3,509 | $23,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 17,000 | $23,000 | thousands by filing date | call |
| GREAT PANTHER MINING | 39115V101 | COM | 26,528 | $23,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 5,771 | $23,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 4,000 | $23,000 | thousands by filing date | principal |
| SHILOH INDUSTRIES INC | 824543102 | COM | 4,631 | $23,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 6,389 | $23,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 1,702 | $23,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G607 | SHIPPING ETF | 2,500 | $23,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 1,009 | $23,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 4,076 | $23,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 100 | $22,000 | thousands by filing date | call |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 568 | $22,000 | thousands by filing date | |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 398 | $22,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 4,000 | $22,000 | thousands by filing date | call |
| INVESCO EXCHANGE TRADED FD T | 46137V332 | S&P500 EQL HLT | 109 | $22,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 427 | $22,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 230 | $22,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 400 | $22,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 2,054 | $22,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 500 | $22,000 | thousands by filing date | put |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 4,625 | $22,000 | thousands by filing date | put |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 2,952 | $22,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 4,600 | $22,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,000 | $22,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 1,365 | $22,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 2,100 | $22,000 | thousands by filing date | put |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 5,337 | $22,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 6,428 | $22,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 5,935 | $22,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 200 | $21,000 | thousands by filing date | put |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 1,200 | $21,000 | thousands by filing date | put |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 377 | $21,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 1,436 | $21,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 2,000 | $21,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 1,500 | $21,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,234 | $21,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 1,611 | $21,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 2,456 | $21,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 13,166 | $21,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 4,669 | $21,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 22,000 | $21,000 | thousands by filing date | principal |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 1,218 | $21,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 1,450 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 1,000 | $21,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 625 | $21,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 608 | $21,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 4,132 | $21,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 2,608 | $21,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 33,700 | $21,000 | thousands by filing date | put |
| YRC WORLDWIDE INC | 984249607 | COM | 5,200 | $21,000 | thousands by filing date | call |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 14,464 | $21,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 10,695 | $21,000 | thousands by filing date | |
| AVANTOR INC | 05352A209 | 6.25 PFD CNV SR | 310 | $21,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 5,432 | $21,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 1,829 | $21,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,029 | $21,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 400 | $20,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 800 | $20,000 | thousands by filing date | put |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 12,600 | $20,000 | thousands by filing date | call |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 2,515 | $20,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 456 | $20,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 1,100 | $20,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 1,000 | $20,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 337 | $20,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 1,003 | $20,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 649 | $20,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 2,800 | $20,000 | thousands by filing date | call |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 453 | $20,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 1,443 | $20,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 2,153 | $20,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 6,500 | $20,000 | thousands by filing date | put |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 16,535 | $20,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 4,970 | $20,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 5,546 | $20,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 1,572 | $20,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 7,466 | $20,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 12,050 | $20,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 22,000 | $20,000 | thousands by filing date | principal |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 6,458 | $20,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 2,125 | $20,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 500 | $19,000 | thousands by filing date | put |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 1,100 | $19,000 | thousands by filing date | put |
| SLACK TECHNOLOGIES INC | 83088V102 | COM CL A | 500 | $19,000 | thousands by filing date | call |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 2,240 | $19,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 141 | $19,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 1,819 | $19,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 2,126 | $19,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 400 | $19,000 | thousands by filing date | put |
| EXACT SCIENCES CORP | 30063PAB1 | NOTE 0.375% 3/1 | 15,000 | $19,000 | thousands by filing date | principal |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 2,876 | $19,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 2,700 | $19,000 | thousands by filing date | put |
| TALEND S A | 874224207 | ADS | 480 | $19,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 4,802 | $19,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 4,624 | $19,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,747 | $18,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 1,229 | $18,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 2,805 | $18,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430602 | ACTIVEBETA US | 408 | $18,000 | thousands by filing date | |
| 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 | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 1,422 | $18,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 728 | $18,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 970 | $18,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 500 | $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 | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 901 | $18,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 496 | $18,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 1,688 | $18,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 10,200 | $18,000 | thousands by filing date | call |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 6,700 | $18,000 | thousands by filing date | call |
| FRED S INC CLASS A | 356108100 | COM | 35,901 | $18,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 1,147 | $18,000 | thousands by filing date | |
| RAYMOND JAMES FINL INC COM | 754730109 | Stock | 200 | $17,000 | thousands by filing date | call |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 400 | $17,000 | thousands by filing date | put |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 766 | $17,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 2,000 | $17,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 871 | $17,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,000 | $17,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 450 | $17,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 2,364 | $17,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E166 | ETRACS MNTHLY B | 1,000 | $17,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 3,074 | $17,000 | thousands by filing date | |
| TIVITY HEALTH INC | 88870R102 | COM | 1,050 | $17,000 | thousands by filing date | put |
| EYENOVIA INC | 30234E104 | COM | 4,007 | $17,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 4,200 | $17,000 | thousands by filing date | put |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 1,307 | $17,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 1,401 | $17,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 1,767 | $17,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 4,483 | $17,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 3,612 | $17,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 850 | $17,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E855 | INSIGHTSHARES | 675 | $17,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 294 | $16,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 256 | $16,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 108 | $16,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 513 | $16,000 | thousands by filing date | |
| ISHARES TR | 46435G433 | MSCI USA SMCP MN | 468 | $16,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 1,257 | $16,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 760 | $16,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 6,475 | $16,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 9,754 | $16,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 30 | $16,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,742 | $16,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 1,414 | $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 | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 9,138 | $16,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 6,000 | $16,000 | thousands by filing date | put |
| OCWEN FINL CORP | 675746309 | COM NEW | 7,900 | $16,000 | thousands by filing date | put |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 570 | $16,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 6,006 | $16,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 6,372 | $16,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J304 | BULSHS 2019 CB | 775 | $16,000 | thousands by filing date | |
| ROAN RES INC | 769755109 | CL A COM | 9,042 | $16,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 7,896 | $16,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 200 | $15,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 2,600 | $15,000 | thousands by filing date | put |
| GOGO INC | 38046C109 | COM | 3,800 | $15,000 | thousands by filing date | put |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 803 | $15,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 2,467 | $15,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,050 | $15,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 729 | $15,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 2,997 | $15,000 | thousands by filing date | call |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 1,229 | $15,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 410 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 201 | $15,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 500 | $15,000 | thousands by filing date | |
| JPMorgan BetaBuilders Canada E | 46641Q696 | COM | 595 | $15,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 8,452 | $15,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 5,600 | $15,000 | thousands by filing date | call |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 6,854 | $15,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,089 | $15,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 5,064 | $15,000 | thousands by filing date | call |
| TIDEWATER INC NEW | 88642R125 | WARR | 5,431 | $15,000 | thousands by filing date | call |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 3,092 | $15,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 3,800 | $15,000 | thousands by filing date | call |
| DURECT CORP | 266605104 | COM | 23,611 | $15,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279504 | COM NEW | 2,070 | $15,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 17,000 | $15,000 | thousands by filing date | principal |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 2,133 | $14,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 255 | $14,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 1,000 | $14,000 | thousands by filing date | call |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 871 | $14,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 1,185 | $14,000 | thousands by filing date | |
| SANDERSON FARMS | 800013104 | COM | 100 | $14,000 | thousands by filing date | call |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 1,836 | $14,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 2,838 | $14,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 557 | $14,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,090 | $14,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 10,700 | $14,000 | thousands by filing date | put |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $14,000 | thousands by filing date | principal |
| CBDMD INC | 12482W101 | COM | 2,410 | $14,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 7,800 | $14,000 | thousands by filing date | put |
| Ampio Pharmaceuticals | 03209T109 | COM | 36,878 | $14,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 1,000 | $14,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 1,600 | $14,000 | thousands by filing date | put |
| RTW RETAILWINDS INC | 74980D100 | COM | 8,378 | $14,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 10,900 | $13,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 271 | $13,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 5,018 | $13,000 | thousands by filing date | call |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 1,400 | $13,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 2,300 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,000 | $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 DORSEY WRIGHT INDUSTRIALS MOMENTUM ETF | 46137V845 | ETF | 200 | $13,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 5,509 | $13,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 2,131 | $13,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 2,000 | $13,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 5,800 | $13,000 | thousands by filing date | call |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 4,500 | $13,000 | thousands by filing date | call |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 1,100 | $13,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 1,902 | $13,000 | thousands by filing date | call |
| OCWEN FINL CORP | 675746309 | COM NEW | 6,200 | $13,000 | thousands by filing date | call |
| EVOGENE LTD | M4119S104 | SHS | 7,976 | $13,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 3,800 | $13,000 | thousands by filing date | put |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 2,312 | $13,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 2,427 | $13,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 3,128 | $13,000 | thousands by filing date | |
| MTBC INC | 55378G102 | COM | 2,500 | $13,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 142 | $12,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 1,442 | $12,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 300 | $12,000 | thousands by filing date | put |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 5,100 | $12,000 | thousands by filing date | put |
| ICHOR HOLDINGS | G4740B105 | SHS | 500 | $12,000 | thousands by filing date | put |
| 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 | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 76 | $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 | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 4,024 | $12,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 300 | $12,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 1,130 | $12,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 550 | $12,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430545 | HEDGE IND ETF | 200 | $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 | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 4,500 | $12,000 | thousands by filing date | call |
| MERITOR INC | 59001K100 | COMMON STOCK | 500 | $12,000 | thousands by filing date | put |
| EROS INTL PLC | G3788M114 | SHS NEW | 9,282 | $12,000 | thousands by filing date | |
| O'Shares Global Internet | 67110P704 | COM | 500 | $12,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 806 | $12,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 8,327 | $12,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 1,100 | $12,000 | thousands by filing date | call |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 2,378 | $12,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 241 | $12,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 674 | $12,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 384 | $12,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 5,000 | $12,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 1,040 | $12,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 12,000 | $12,000 | thousands by filing date | principal |
| HUNT COS FIN TR INC | 44558T100 | COM | 3,481 | $12,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 95 | $11,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 330 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 85 | $11,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E610 | KBW HIG DV YLD | 500 | $11,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V274 | S&P500 EQL UTL | 112 | $11,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 1,800 | $11,000 | thousands by filing date | call |
| KOSMOS ENERGY LTD | 500688106 | COM | 1,800 | $11,000 | thousands by filing date | put |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 445 | $11,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 3,200 | $11,000 | thousands by filing date | call |
| VINCE HLDG CORP | 92719W207 | COM NEW | 787 | $11,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 7,995 | $11,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 2,089 | $11,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 5,692 | $11,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 3,600 | $11,000 | thousands by filing date | put |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 11,711 | $11,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 800 | $11,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 1,000 | $11,000 | thousands by filing date | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 400 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 650 | $11,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 289 | $10,000 | thousands by filing date | |
| ISHARES TR | 46435G425 | COM | 156 | $10,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 999 | $10,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 100 | $10,000 | thousands by filing date | call |
| WISDOMTREE INC | 97717P104 | COM | 1,700 | $10,000 | thousands by filing date | call |
| ABRDN SILVER ETF TRUST | 003264108 | PHYSCL SILVR SHS | 700 | $10,000 | thousands by filing date | put |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 200 | $10,000 | thousands by filing date | call |
| 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 | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 1,500 | $10,000 | thousands by filing date | call |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 645 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 450 | $10,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 574 | $10,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 1,320 | $10,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 2,729 | $10,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 3,000 | $10,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138E180 | S&P SMLCP DISC | 172 | $10,000 | thousands by filing date | |
| INVESCO DB PRECIOUS METALS FUND | 46140H502 | ETF | 253 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 300 | $10,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 3,800 | $10,000 | thousands by filing date | call |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 15,265 | $10,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 2,923 | $10,000 | thousands by filing date | |
| RYB ED INC | 74979W101 | ADR | 1,449 | $10,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 1,300 | $10,000 | thousands by filing date | call |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 300 | $10,000 | thousands by filing date | put |
| GSV CAPITAL CORP | 36191J101 | COM | 1,504 | $10,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 19,865 | $10,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 7,374 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 350 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 155 | $10,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 1,000 | $10,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,020 | $10,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 2,934 | $10,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 250 | $9,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 1,570 | $9,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 568 | $9,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 165 | $9,000 | thousands by filing date | |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 300 | $9,000 | thousands by filing date | call |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 400 | $9,000 | thousands by filing date | call |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 715 | $9,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 200 | $9,000 | thousands by filing date | call |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 3,500 | $9,000 | thousands by filing date | call |
| RED RIVER BANCSHARES INC | 75686R202 | COMMON STOCK | 179 | $9,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 1,400 | $9,000 | thousands by filing date | put |
| VALUE LINE INC | 920437100 | COMMON STOCK | 295 | $9,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 584 | $9,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 250 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 350 | $9,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 200 | $9,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 2,000 | $9,000 | thousands by filing date | |
| JPMorgan BetaBuilders Dev Asia | 46641Q688 | ETF | 343 | $9,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 1,319 | $9,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 614 | $9,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 2,149 | $9,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220KAF5 | NOTE 0.750% 5/1 | 10,000 | $9,000 | thousands by filing date | principal |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 1,849 | $9,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 6,085 | $9,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 325 | $9,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 900 | $9,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 912 | $9,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W203 | COM | 1,551 | $9,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W203 | COM | 1,404 | $9,000 | thousands by filing date | put |
| J JILL INC | 46620W102 | COM | 4,305 | $9,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 637 | $8,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 749 | $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 | 169 | $8,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 2,100 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y442 | CLOUD COMPUTNG | 500 | $8,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 1,100 | $8,000 | thousands by filing date | put |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 1,773 | $8,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 903 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 222 | $8,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 842 | $8,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 689 | $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 | 126 | $8,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 300 | $8,000 | thousands by filing date | call |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 1,897 | $8,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 4,679 | $8,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 2,041 | $8,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 1,900 | $8,000 | thousands by filing date | put |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 248 | $8,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 1,831 | $8,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 8,000 | $8,000 | thousands by filing date | principal |
| Melinta Therapeutics Inc | 58549G209 | Common / Ordinary Stock | 1,146 | $8,000 | 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 | 104 | $7,000 | thousands by filing date | |
| ONESPAN INC | 68287N100 | COM | 500 | $7,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 252 | $7,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 300 | $7,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 600 | $7,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 200 | $7,000 | thousands by filing date | put |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 500 | $7,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 800 | $7,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 1,000 | $7,000 | thousands by filing date | call |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 420 | $7,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 464 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V811 | S&P500 EQL HIG | 100 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V878 | DORSEY WRGT ENRG | 234 | $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 | |
| Xunlei Ltd-Adr | 98419E108 | COM | 2,600 | $7,000 | thousands by filing date | call |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 959 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 200 | $7,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E172 | S&P SMLCP STAP | 100 | $7,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 14,327 | $7,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 4,878 | $7,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 1,000 | $7,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 458 | $7,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 800 | $7,000 | thousands by filing date | call |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 4,000 | $7,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 4,750 | $7,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 7,734 | $7,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 520 | $7,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $7,000 | thousands by filing date | call |
| YRC WORLDWIDE INC | 984249607 | COM | 1,700 | $7,000 | thousands by filing date | put |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 1,200 | $7,000 | thousands by filing date | put |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 1,944 | $7,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 5,393 | $7,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 508 | $7,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 3,487 | $7,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 38,855 | $7,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 2,000 | $7,000 | thousands by filing date | call |
| APTINYX INC | 03836N103 | COM | 2,055 | $7,000 | thousands by filing date | |
| OCH ZIFF CPTL MANGEMNT GRP I | 67551U204 | CL A NEW | 300 | $7,000 | thousands by filing date | call |
| TELIGENT INC NEW | 87960W104 | COM | 11,697 | $7,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC COM NEW | 451055305 | Stock | 8,232 | $7,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 8,000 | $7,000 | thousands by filing date | principal |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 1,014 | $6,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 600 | $6,000 | thousands by filing date | call |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 1,000 | $6,000 | thousands by filing date | call |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 405 | $6,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 100 | $6,000 | thousands by filing date | call |
| INTERDIGITAL INC COM | 45867G101 | Stock | 100 | $6,000 | thousands by filing date | call |
| RAYONIER INC COM | 754907103 | REIT | 200 | $6,000 | thousands by filing date | call |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 200 | $6,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 2,549 | $6,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 400 | $6,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 1,564 | $6,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 300 | $6,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 224 | $6,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 864 | $6,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 272 | $6,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 689 | $6,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 1,600 | $6,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 930 | $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 | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 85 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 94 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 134 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 200 | $6,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 800 | $6,000 | thousands by filing date | put |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 84 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 120 | $6,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 5,140 | $6,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 3,032 | $6,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 600 | $6,000 | thousands by filing date | put |
| USD PARTNERS LP LP | 903318103 | STOK | 554 | $6,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 1,500 | $6,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 600 | $6,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 13,891 | $6,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 15,200 | $6,000 | thousands by filing date | put |
| OCONEE FED FINL CORP | 675607105 | COM | 273 | $6,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 500 | $6,000 | thousands by filing date | call |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 2,691 | $6,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 3,579 | $6,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 1,000 | $6,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 2,146 | $6,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 340 | $6,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 900 | $5,000 | thousands by filing date | put |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 200 | $5,000 | thousands by filing date | |
| EDGEWELL PERSONAL CARE CO | 28035Q102 | COM | 200 | $5,000 | thousands by filing date | call |
| EVOLUS INC | 30052C107 | COM | 370 | $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 | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 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 | 312 | $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 | |
| INVESCO EXCH TRADED FD TR II | 46138E123 | S&P SMLCP INDL | 70 | $5,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 589 | $5,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 200 | $5,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 271 | $5,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 350 | $5,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 1,063 | $5,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 2,700 | $5,000 | thousands by filing date | put |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 7,200 | $5,000 | thousands by filing date | |
| INVESCO | 46090C305 | EXCHANGE TRADED | 125 | $5,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 1,000 | $5,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 1,720 | $5,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 10,100 | $5,000 | thousands by filing date | call |
| IVERIC BIO INC | 46583P102 | COM | 4,138 | $5,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 1,600 | $5,000 | thousands by filing date | put |
| SOTHERLY HOTELS INC | 83600C103 | COM | 749 | $5,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 1,477 | $5,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 400 | $5,000 | thousands by filing date | |
| O'Shares FTSE U.S. Quality Divid | 67110P407 | COM | 150 | $5,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 1,703 | $5,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 3,603 | $5,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 2,300 | $5,000 | thousands by filing date | call |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 4,200 | $5,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 9,919 | $5,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 2,189 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-19-000095 | this filing | 2019-08-12 | acceptance time not in the bulk data set |