13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-12, with 7,740 holding rows worth $138,121,665,000.
- Accession
- 0000831001-20-000026
- Filer
- CIK 831001
- Filed
- 2020-02-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A holdings report, 16,224 entries on the cover page, a total value of $138,121,665,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $138,121,665,000 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 |
|---|---|---|---|---|---|---|
| MORPHIC HLDG INC | 61775R105 | COM | 993 | $17,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 1,200 | $17,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 2,752 | $17,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 4,600 | $17,000 | thousands by filing date | put |
| ENERGOUS CORP | 29272C103 | COM | 9,500 | $17,000 | thousands by filing date | put |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 17,000 | $17,000 | thousands by filing date | principal |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 2,112 | $17,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 4,342 | $17,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 16,552 | $17,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 8,410 | $17,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 3,573 | $17,000 | thousands by filing date | |
| ISHARES TR | 46434V720 | MIN VOL EUROPE | 618 | $17,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 5,760 | $16,000 | thousands by filing date | |
| CASEYS GEN STORES INC | 147528103 | COM | 100 | $16,000 | thousands by filing date | put |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 811 | $16,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 500 | $16,000 | thousands by filing date | call |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 507 | $16,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 495 | $16,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V399 | S&P500 BUY WRT | 750 | $16,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 300 | $16,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 760 | $16,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,050 | $16,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 766 | $16,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 4,300 | $16,000 | thousands by filing date | put |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 1,149 | $16,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 6,700 | $16,000 | thousands by filing date | call |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,755 | $16,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 105 | $16,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 1,050 | $16,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 4,800 | $16,000 | thousands by filing date | call |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 4,151 | $16,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 600 | $16,000 | thousands by filing date | put |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 6,764 | $16,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 6,353 | $16,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 398 | $16,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 2,300 | $16,000 | thousands by filing date | put |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 570 | $16,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 5,431 | $16,000 | thousands by filing date | |
| BROADCOM INC | 11135F200 | 8% MCNV PFD SR A | 14 | $16,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 13,148 | $16,000 | thousands by filing date | |
| SQUARE INC | 852234AB9 | NOTE 0.375% 3/0 | 6,000 | $16,000 | thousands by filing date | principal |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 9,000 | $16,000 | thousands by filing date | principal |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 4,751 | $16,000 | thousands by filing date | |
| COLFAX CORP | 194014205 | UNIT 01/15/2022T | 100 | $16,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279504 | COM NEW | 2,489 | $16,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 15,901 | $16,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 538 | $15,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 4,400 | $15,000 | thousands by filing date | put |
| WISDOMTREE INC | 97717P104 | COM | 3,200 | $15,000 | thousands by filing date | call |
| NEXTDECADE CORP | 65342K105 | COM | 2,516 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 349 | $15,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 1,310 | $15,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 281 | $15,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 1,978 | $15,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 1,368 | $15,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 912 | $15,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 256 | $15,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 9,515 | $15,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,089 | $15,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 1,170 | $15,000 | thousands by filing date | |
| 89BIO INC | 282559103 | COM | 590 | $15,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 10,732 | $15,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 4,159 | $15,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 4,000 | $15,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 14,000 | $15,000 | thousands by filing date | principal |
| MICROCHIP TECHNOLOGY INC. | 595017AH7 | NOTE 2.250% 2/1 | 10,000 | $15,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 11,000 | $15,000 | thousands by filing date | principal |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 4,838 | $15,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 1,332 | $15,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 2,104 | $15,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 1,000 | $15,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 3,680 | $15,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 7,267 | $15,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 9,959 | $15,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 1,480 | $15,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 8,000 | $15,000 | thousands by filing date | principal |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 17,000 | $15,000 | thousands by filing date | principal |
| CITIGROUP GLOBAL | 17324XRL6 | MKTS HLDGS MTNF 9/0 | 15,000 | $15,000 | thousands by filing date | principal |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 2,358 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 122 | $14,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 600 | $14,000 | thousands by filing date | put |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 3,241 | $14,000 | thousands by filing date | |
| REVOLVE GROUP INC CL A | 76156B107 | Stock | 745 | $14,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 200 | $14,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 295 | $14,000 | thousands by filing date | |
| ALERUS FINL CORP | 01446U103 | COM | 600 | $14,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 200 | $14,000 | thousands by filing date | call |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 1,062 | $14,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 748 | $14,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 400 | $14,000 | thousands by filing date | put |
| INVESCO DORSEY WRIGHT INDUSTRIALS MOMENTUM ETF | 46137V845 | ETF | 200 | $14,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 1,657 | $14,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 2,828 | $14,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 1,700 | $14,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 3,209 | $14,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 1,000 | $14,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 1,578 | $14,000 | thousands by filing date | |
| ISHARES TR | 46435G425 | COM | 176 | $13,000 | thousands by filing date | |
| DELEK US HLDGS INC NEW COM | 24665A103 | Stock | 400 | $13,000 | thousands by filing date | put |
| DTE ENERGY CO COM | 233331107 | Stock | 100 | $13,000 | thousands by filing date | put |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,793 | $13,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 1,000 | $13,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 252 | $13,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657101 | COM | 400 | $13,000 | thousands by filing date | call |
| ICHOR HOLDINGS | G4740B105 | SHS | 400 | $13,000 | thousands by filing date | put |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 540 | $13,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 1,400 | $13,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 1,000 | $13,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 500 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,000 | $13,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 1,542 | $13,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 1,130 | $13,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 8,452 | $13,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,090 | $13,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 3,139 | $13,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 1,100 | $13,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 967 | $13,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 22,840 | $13,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 1,000 | $13,000 | thousands by filing date | call |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 3,142 | $13,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 384 | $13,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 8,000 | $13,000 | thousands by filing date | principal |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 1,971 | $13,000 | thousands by filing date | |
| SEA LTD | 81141RAB6 | CONV BD US | 6,000 | $13,000 | thousands by filing date | principal |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 5,493 | $13,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 1,100 | $13,000 | thousands by filing date | |
| ASSURANT INC | 04621X207 | 6.50% CONV PFD D | 100 | $13,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 1,552 | $13,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 115 | $13,000 | thousands by filing date | |
| ISHARES TR | 46435G243 | COM | 468 | $12,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 1,015 | $12,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 200 | $12,000 | thousands by filing date | call |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 6,186 | $12,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 3,400 | $12,000 | thousands by filing date | call |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 400 | $12,000 | thousands by filing date | put |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 1,066 | $12,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V274 | S&P500 EQL UTL | 114 | $12,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 332 | $12,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 948 | $12,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 600 | $12,000 | thousands by filing date | put |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 1,000 | $12,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 1,600 | $12,000 | thousands by filing date | put |
| BROOKDALE SR LIVING INC | 112463104 | COM | 1,700 | $12,000 | thousands by filing date | call |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 1,279 | $12,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 2,253 | $12,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 1,774 | $12,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P870 | NUVEEN ESG US | 476 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 389 | $12,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 2,779 | $12,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 2,449 | $12,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 3,000 | $12,000 | thousands by filing date | call |
| IVERIC BIO INC | 46583P102 | COM | 1,435 | $12,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 1,114 | $12,000 | thousands by filing date | |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 11,000 | $12,000 | thousands by filing date | principal |
| VERASTEM INC | 92337C104 | COM | 9,155 | $12,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 2,750 | $12,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 1,500 | $12,000 | thousands by filing date | put |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 17,952 | $12,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 1,472 | $12,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 800 | $12,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 241 | $12,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 7,976 | $12,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 2,300 | $12,000 | thousands by filing date | call |
| WAYFAIR INC | 94419LAB7 | NOTE 0.375% 9/0 | 11,000 | $12,000 | thousands by filing date | principal |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 1,688 | $12,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 3,180 | $12,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 100 | $12,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 3,200 | $11,000 | thousands by filing date | put |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 8,900 | $11,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138E610 | KBW HIG DV YLD | 500 | $11,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 600 | $11,000 | thousands by filing date | put |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 445 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 450 | $11,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 2,192 | $11,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 2,184 | $11,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 300 | $11,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E180 | S&P SMLCP DISC | 172 | $11,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 550 | $11,000 | thousands by filing date | |
| INVESCO DB PRECIOUS METALS FUND | 46140H502 | ETF | 255 | $11,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 4,460 | $11,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 625 | $11,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 253 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 300 | $11,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 500 | $11,000 | thousands by filing date | call |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 2,000 | $11,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 300 | $11,000 | thousands by filing date | call |
| EVELO BIOSCIENCES INC | 299734103 | COM | 2,757 | $11,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 8,100 | $11,000 | thousands by filing date | call |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 1,000 | $11,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 26,057 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 350 | $11,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 1,573 | $11,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U133 | UNIT 99/99/9999 | 100 | $11,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 6,227 | $11,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 250 | $10,000 | thousands by filing date | |
| MANPOWERGROUP INC WIS COM | 56418H100 | Stock | 100 | $10,000 | thousands by filing date | put |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 300 | $10,000 | thousands by filing date | call |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 165 | $10,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 600 | $10,000 | thousands by filing date | put |
| OCEANEERING INTL INC | 675232102 | COM | 700 | $10,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 300 | $10,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 309 | $10,000 | thousands by filing date | |
| ADAPTHEALTH CORP | 00653Q102 | COMMON STOCK | 933 | $10,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 848 | $10,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 800 | $10,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 1,705 | $10,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 200 | $10,000 | thousands by filing date | call |
| FRANKLIN FTSE EUROPE ETF | 35473P652 | ETF | 402 | $10,000 | thousands by filing date | |
| FARFETCH LTD | 30744W107 | ORD SH CL A | 1,000 | $10,000 | thousands by filing date | |
| RANPAK HOLDINGS CORP | 75321W103 | COMMON STOCK | 1,271 | $10,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 515 | $10,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 250 | $10,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 200 | $10,000 | thousands by filing date | |
| SILVERGATE CAP CORP CLASS A | 82837P408 | CL A | 639 | $10,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 12,685 | $10,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 651 | $10,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 2,300 | $10,000 | thousands by filing date | put |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 900 | $10,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 1,044 | $10,000 | thousands by filing date | |
| ETSY INC | 29786AAC0 | NOTE 3/0 | 7,000 | $10,000 | thousands by filing date | principal |
| ONCOCYTE CORP | 68235C107 | COM | 4,360 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 155 | $10,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 11,000 | $10,000 | thousands by filing date | principal |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 1,000 | $10,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A370 | LONCAR CHINA BIO | 390 | $10,000 | thousands by filing date | |
| SUTTER ROCK CAP CORP | 86944Q100 | COM | 1,585 | $10,000 | thousands by filing date | |
| MTBC INC | 55378G102 | COM | 2,500 | $10,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 290 | $9,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 500 | $9,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 400 | $9,000 | thousands by filing date | call |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 100 | $9,000 | thousands by filing date | call |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 670 | $9,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E727 | RAFI EMRGNG MRKT | 402 | $9,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 200 | $9,000 | thousands by filing date | call |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 789 | $9,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 1,000 | $9,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 257 | $9,000 | thousands by filing date | |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 500 | $9,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 350 | $9,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 300 | $9,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 5,894 | $9,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 4,000 | $9,000 | thousands by filing date | put |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 7,000 | $9,000 | thousands by filing date | principal |
| IDEANOMICS INC | 45166V106 | COM | 9,960 | $9,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 1,300 | $9,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 1,200 | $9,000 | thousands by filing date | put |
| Pimco Income Oppty Fund | 72202B100 | COM | 325 | $9,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $9,000 | thousands by filing date | call |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 3,153 | $9,000 | thousands by filing date | |
| HAPPINESS DEVELOPMENT GRP LT | G4289N114 | ORD SHS CL A | 2,000 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 650 | $9,000 | thousands by filing date | |
| HUBSPOT INC | 443573AB6 | NOTE 0.250% 6/0 | 5,000 | $9,000 | thousands by filing date | principal |
| RESTORBIO INC | 76133L103 | COM | 5,906 | $9,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 10,000 | $9,000 | thousands by filing date | principal |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 3,000 | $9,000 | thousands by filing date | |
| iShares International Equity Factor ETF | 46434V274 | SHS | 286 | $8,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 1,385 | $8,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 5,600 | $8,000 | thousands by filing date | put |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 6,138 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 173 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 100 | $8,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 200 | $8,000 | thousands by filing date | call |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 400 | $8,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 474 | $8,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 322 | $8,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 213 | $8,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 200 | $8,000 | thousands by filing date | call |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 1,267 | $8,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 4,024 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 222 | $8,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V175 | S&P SML600 GWT | 65 | $8,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 386 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 126 | $8,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 2,000 | $8,000 | thousands by filing date | call |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 325 | $8,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 876 | $8,000 | thousands by filing date | |
| RAPT THERAPEUTICS INC | 75382E109 | COM | 313 | $8,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 3,927 | $8,000 | thousands by filing date | |
| RYB ED INC | 74979W101 | ADR | 1,449 | $8,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 5,064 | $8,000 | thousands by filing date | call |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 6,053 | $8,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 1,944 | $8,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 196 | $8,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 601 | $8,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 4,343 | $8,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 4,392 | $8,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 3,153 | $8,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 9,882 | $8,000 | thousands by filing date | |
| CLEVELAND CLIFFS INC | 185899AA9 | DBCV 1.500% 1/1 | 7,000 | $8,000 | thousands by filing date | principal |
| EXICURE INC | 30205M101 | COM | 2,805 | $8,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 4,024 | $8,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 4,905 | $8,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 3,071 | $8,000 | thousands by filing date | |
| SITIME CORP COM | 82982T106 | Stock | 265 | $7,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 400 | $7,000 | thousands by filing date | call |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 2,792 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 353 | $7,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 300 | $7,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 1,000 | $7,000 | thousands by filing date | put |
| STELLUS CAP INVT CORP | 858568108 | COM | 500 | $7,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 800 | $7,000 | thousands by filing date | |
| SITE CENTERS CORP | 82981J109 | COM | 500 | $7,000 | thousands by filing date | put |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 722 | $7,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 318 | $7,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 1,107 | $7,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,677 | $7,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 125 | $7,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L108 | SELECT FINL | 269 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FUND TRUST INVESCO DORSEY WRIGHT UTILITIES MOMENTUM ETF | 46137V795 | ETF | 200 | $7,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 205 | $7,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 789 | $7,000 | thousands by filing date | |
| JPMorgan BetaBuilders Canada E | 46641Q696 | COM | 257 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V803 | DORSEY WRGT CSMR | 130 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 200 | $7,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 1,700 | $7,000 | thousands by filing date | put |
| Lincoln National Corporat | 524901105 | COM | 200 | $7,000 | thousands by filing date | put |
| SCIPLAY CORPORATION | 809087109 | CL A | 600 | $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 | 2,200 | $7,000 | thousands by filing date | put |
| RETROPHIN INC | 761299106 | COM | 500 | $7,000 | thousands by filing date | put |
| QIWI PLC | 74735M108 | SPON ADR REP B | 354 | $7,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 1,020 | $7,000 | thousands by filing date | call |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 1,500 | $7,000 | thousands by filing date | call |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 5,393 | $7,000 | thousands by filing date | |
| THERATECHNOLOGIES INC COM | 88338H100 | COM | 2,250 | $7,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 716 | $7,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 6,258 | $7,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 7,000 | $7,000 | thousands by filing date | principal |
| AXOVANT SCIENCES LTD | G0750W203 | COM | 1,404 | $7,000 | thousands by filing date | put |
| GREENLANE HLDGS INC | 395330103 | CL A | 2,061 | $7,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 6,577 | $7,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 3,348 | $7,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 1,994 | $7,000 | thousands by filing date | |
| PROSHARES TR ULTPRO SHT 2017 | 74348A152 | CEF | 400 | $7,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 350 | $7,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 49 | $6,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 1,100 | $6,000 | thousands by filing date | put |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 4,100 | $6,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 100 | $6,000 | thousands by filing date | call |
| SPDR SER TR | 78468R812 | MSCI USA STRTGIC | 64 | $6,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 100 | $6,000 | thousands by filing date | call |
| NOVAVAX INC | 670002401 | COM NEW | 1,410 | $6,000 | thousands by filing date | put |
| KOSMOS ENERGY LTD | 500688106 | COM | 1,100 | $6,000 | thousands by filing date | put |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 113 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 200 | $6,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 400 | $6,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 986 | $6,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 778 | $6,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 300 | $6,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 556 | $6,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 362 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 200 | $6,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 247 | $6,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 723 | $6,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 214 | $6,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 275 | $6,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 2,607 | $6,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 85 | $6,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 1,308 | $6,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 1,648 | $6,000 | thousands by filing date | |
| INVESCO | 46090C305 | EXCHANGE TRADED | 125 | $6,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 1,639 | $6,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 1,000 | $6,000 | thousands by filing date | principal |
| TIDEWATER INC NEW | 88642R125 | WARR | 5,431 | $6,000 | thousands by filing date | call |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 7,000 | $6,000 | thousands by filing date | principal |
| 22ND CENTY GROUP INC | 90137F103 | COM | 5,900 | $6,000 | thousands by filing date | put |
| ATHERSYS INC | 04744L106 | COM | 4,500 | $6,000 | thousands by filing date | call |
| AXCELLA HEALTH INC | 05454B105 | COM | 1,564 | $6,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 6,242 | $6,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 1,728 | $6,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 4,542 | $6,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 15,000 | $6,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 650 | $6,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 2,688 | $6,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 5,233 | $6,000 | thousands by filing date | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 500 | $5,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 100 | $5,000 | thousands by filing date | put |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 754 | $5,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 81 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 100 | $5,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 2,100 | $5,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 200 | $5,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 404 | $5,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 350 | $5,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 400 | $5,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 508 | $5,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 935 | $5,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 864 | $5,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 200 | $5,000 | thousands by filing date | put |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 400 | $5,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 471 | $5,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 1,300 | $5,000 | thousands by filing date | call |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 400 | $5,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 450 | $5,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 689 | $5,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 1,000 | $5,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 1,600 | $5,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 900 | $5,000 | thousands by filing date | put |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 332 | $5,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E123 | S&P SMLCP INDL | 70 | $5,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 930 | $5,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 789 | $5,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 289 | $5,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 79 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 276 | $5,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 896 | $5,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 5,692 | $5,000 | thousands by filing date | |
| CannTrust Holdings Inc | 137800207 | Common / Ordinary Stock | 5,768 | $5,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 500 | $5,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 749 | $5,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 200 | $5,000 | thousands by filing date | put |
| INTERSECT ENT INC | 46071F103 | COM | 200 | $5,000 | thousands by filing date | call |
| HERBALIFE NUTRITION LTD | 42703MAD5 | NOTE 2.625% 3/1 | 5,000 | $5,000 | thousands by filing date | principal |
| DOCUSIGN INC | 256163AB2 | NOTE 0.500% 9/1 | 4,000 | $5,000 | thousands by filing date | principal |
| O'Shares FTSE U.S. Quality Divid | 67110P407 | COM | 150 | $5,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 356 | $5,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 2,088 | $5,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 3,700 | $5,000 | thousands by filing date | put |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 350 | $5,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 14,915 | $5,000 | thousands by filing date | |
| INVSC RAFI US 1500 SML MID ETF | 46137V209 | ETF | 115 | $5,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F796 | COM | 100 | $5,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 3,284 | $5,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 5,000 | $5,000 | thousands by filing date | principal |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 170 | $5,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 5,000 | $5,000 | thousands by filing date | principal |
| NEW PROVIDENCE ACQUISITION | 64822P106 | COM CL A | 500 | $5,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 1,363 | $5,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 3,667 | $5,000 | thousands by filing date | |
| DTE ENERGY CO | 233331842 | UNIT 11/01/2022 | 100 | $5,000 | thousands by filing date | |
| SOUTHERN CO | 842587602 | UNIT 08/01/2022 | 100 | $5,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 5,000 | $5,000 | thousands by filing date | principal |
| INTERNATIONAL FLAVORS&FRAGRA | 459506309 | UNIT 09/15/2021 | 100 | $5,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 73 | $5,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 1,000 | $5,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 340 | $5,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17324XSP6 | MKTS HLDGS MTNF 6.500% 9/2 | 5,000 | $5,000 | thousands by filing date | principal |
| CITIGROUP GLOBAL MKTS HLDGS | 17325K529 | VELOCITYSHS SHRT | 189 | $5,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 1,586 | $4,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 609 | $4,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 245 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P744 | FTSE JAPAN ETF | 166 | $4,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 290 | $4,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J206 | MULTIFACTOR MI | 103 | $4,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 149 | $4,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E743 | RAFI DVLPD MRKTS | 90 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 55 | $4,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 54 | $4,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 223 | $4,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 70 | $4,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 500 | $4,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 364 | $4,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 128 | $4,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 1,295 | $4,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 200 | $4,000 | thousands by filing date | call |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 1,000 | $4,000 | thousands by filing date | put |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 500 | $4,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 636 | $4,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 317 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 103 | $4,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 4,000 | $4,000 | thousands by filing date | principal |
| SANOFI | 80105N113 | COMMON STOCK-FO | 4,447 | $4,000 | thousands by filing date | call |
| CSS INDS INC | 125906107 | COMMON STOCK | 1,000 | $4,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 1,700 | $4,000 | thousands by filing date | call |
| GLOBALSTAR INC | 378973408 | COM | 7,000 | $4,000 | thousands by filing date | put |
| PIXELWORKS INC | 72581M305 | COM NEW | 1,028 | $4,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 2,000 | $4,000 | thousands by filing date | put |
| TTOO | 89853L104 | Stock | 3,503 | $4,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 207 | $4,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 377 | $4,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 1,000 | $4,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 2,674 | $4,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 11,571 | $4,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 364 | $4,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 2,448 | $4,000 | thousands by filing date | call |
| TELIGENT INC NEW | 87960W104 | COM | 10,139 | $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 |
| ZAFGEN INC | 98885E103 | COM | 3,447 | $4,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 1,022 | $4,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 46 | $3,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 1,000 | $3,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 100 | $3,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 98 | $3,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 113 | $3,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 990 | $3,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G706 | SOLAR ETF | 90 | $3,000 | thousands by filing date | |
| FRANCHISE GROUP INC | 35180X105 | COM | 118 | $3,000 | thousands by filing date | |
| GROWGENERATION CORP | 39986L109 | COM | 650 | $3,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 162 | $3,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 1,330 | $3,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 116 | $3,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 1,000 | $3,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 6,663 | $3,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 70 | $3,000 | thousands by filing date | |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 205 | $3,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 200 | $3,000 | thousands by filing date | put |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 79 | $3,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 287 | $3,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 600 | $3,000 | thousands by filing date | call |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 299 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-20-000026 | this filing | 2020-02-12 | acceptance time not in the bulk data set |