13F-HR filed by FNY Investment Advisers, LLC
FNY Investment Advisers, LLC filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-10-29, with 1,072 holding rows worth $438,956,000.
- Accession
- 0001742998-18-000004
- Filer
- CIK 1742998
- Filed
- 2018-10-29
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 1,219 entries on the cover page, a total value of $438,956,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $438,386,000 with VALUE read as thousands by filing date, 13F file number 028-18846. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- included managerIbex Investors LLC
- included managerQuad Capital Management Advisors LLC
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 |
|---|---|---|---|---|---|---|
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 75 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| HORTONWORKS INC | 440894103 | COM | 11 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ORBOTECH LTD | M75253100 | ORD | 1 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ORBOTECH LTD | M75253100 | ORD | 1 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 5 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| CALAMP CORP | 128126109 | COMMON STOCK | 40 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 12 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 30 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 1 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 5 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 15 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| NOVAVAX INC | 670002104 | COMMON STOCK | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NOVAVAX INC | 670002104 | COMMON STOCK | 5 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| GLOBALSTAR INC | 378973408 | COM | 110 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 7 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 15 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Helios and Matheson Analytics Inc | 42327L309 | Common Stock | 2 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Helios and Matheson Analytics Inc | 42327L309 | Common Stock | 108 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 25 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| DENBURY RES INC | 247916208 | COM NEW | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| THERAPEUTICSMD INC | 88338N107 | COM | 20 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ZOES KITCHEN INC | 98979J109 | COM | 38 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ZOES KITCHEN INC | 98979J109 | COM | 49 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 14 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 15 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SONIC CORP | 835451105 | COM | 1 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 30 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 5 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ACETO CORP | 004446100 | COM | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 5 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 30 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SIGMA DESIGNS INC | 826565103 | COM | 6,300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 20,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SENOMYX INC | 81724Q107 | COM | 10 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEOPHOTONICS CORP | 64051T100 | COM | 102 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUVEEN BUILD AMER BD OPPTNY | 67074q102 | COM | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLONDER TONGUE LABS INC | 093698108 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUVEEN GA DIVID | 67072B107 | COM | 90 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Second Str Cap Inc | 813630100 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DELL TECHNOLOGIES INC CLASS CLASS C | 24703L103 | CLASS C | 11 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| VITAL THERAPIES INC | 92847R104 | COM | 275 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| VITAL THERAPIES INC | 92847R104 | COM | 335 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Bayerische Motoren Werke AG | 072743305 | Equities | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUPERVALU INC | 868536301 | COM NEW | 20 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| CYTORI THERAPEUTICS INC | 23283K402 | COM PAR | 1,480 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 85 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ENERTECK ORD (PNK) | 29275X104 | COM | 7,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIDELANDS OIL AND GAS ORD | 886405109 | COM | 526,323 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENIUS PRODUCTS ORD | 37229R305 | COM | 122 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INPHONIC ORD (OTC) | 45772G105 | COM | 14,472 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 46 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 24 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| HC2 HLDGS INC | 404139107 | COM | 25 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| K2M GROUP HLDGS INC | 48273J107 | COM | 10 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| K2M GROUP HLDGS INC | 48273J107 | COM | 6 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ACHAOGEN INC | 004449104 | COM | 15 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 141 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 10 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 90 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SKY PLC SPONSORED ADR | 83084V106 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HOVNANIAN ENTERPRISES CL B ORD | 442487302 | COM | 319 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001742998-18-000004 | this filing | 2018-10-29 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001742998-18-000005 | superseded | 2018-11-07 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001742998-18-000006 | base | 2018-11-07 | acceptance time not in the bulk data set |