LADENBURG THALMANN FINANCIAL SERVICES INC.

13F filer, CIK 1029730, MIAMI, FL

LADENBURG THALMANN FINANCIAL SERVICES INC. reported $11,950,349,000 across 5,276 holdings for the quarter ended 2018-09-30, in a 13F-HR filed 2018-11-14. Its ten largest share positions make up 14.03% of the portfolio.

Filed 2018-11-14 (acceptance time not in the bulk data set), ingested 2026-10-07 19:03:47 UTC13F-HR 0001493152-18-016044

Period: 2018-09-30
Reported value: $12B
Holdings: 5,276
Top 10 weight: 14.03%
New: 656
Sold out: 634

Largest buys vs the previous quarter

Security	Shares change	Approx. value
QQQnew	+706,564	$131M
SPYGadded	+2,331,362	$89.1M
USMVadded	+1,215,216	$69.3M
RSPnew	+584,619	$62.4M
SHVadded	+307,982	$34M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Largest sells vs the previous quarter

Security	Shares change	Approx. value
PowerShares QQQ Trust Unit …exited	-761,368	-$122M
MTUMreduced	-505,721	-$60.2M
Guggenheim S&P 500 Equal We…exited	-586,613	-$58.3M
POWERSHARES ETF TR II S&P50…exited	-938,347	-$39.8M
SCZreduced	-606,942	-$37.8M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Holdings, Q3 2018

Share positions as resolved from 13F-HR 0001493152-18-016044, largest first. % of portfolio is the value over $11,950,349,000, the sum of the share positions whose value is usable for ratios (method).

Security	Shares	Value	% of portfolio	Change	Latest event	Timeline
SPDNDIREXION SHARES ETF TRUST	26	$1K	<0.01%	0		Timeline
REFRRESEARCH FRONTIERS INC	500	$1K	<0.01%	0		Timeline
TTECTTEC HLDGS INC	49	$1K	<0.01%	new		Timeline
CRNTCERAGON NETWORKS LTD	400	$1K	<0.01%	0		Timeline
EDENISHARES TR	11	$1K	<0.01%	-90		Timeline
COUSINS PROPERTIES INCCOUSINS PROPERTIES INC	122	$1K	<0.01%	-1,085
INFRAREIT INCINFRAREIT INC	62	$1K	<0.01%	new
ALUMINUM CORP CHINA LTDALUMINUM CORP CHINA LTD	110	$1K	<0.01%	0
ABEONA THERAPEUTICS INCABEONA THERAPEUTICS INC	88	$1K	<0.01%	-965
KMDAKAMADA LTD	100	$1K	<0.01%	0		Timeline
CYDCHINA YUCHAI INTL LTD	43	$1K	<0.01%	+4		Timeline
AMSAMERICAN SHARED HOSPITAL SVC	200	$1K	<0.01%	new		Timeline
AWREAWARE INC MASS	250	$1K	<0.01%	-8,000		Timeline
MANUMANCHESTER UTD PLC NEW	30	$1K	<0.01%	0		Timeline
VTSIVIRTRA INC	100	$1K	<0.01%	new		Timeline
RLJ LODGING TRRLJ LODGING TR	47	$1K	<0.01%	new
QTRHFQUARTERHILL INC COM (CAN)	1,000	$1K	<0.01%	0		Timeline
DVYAISHARES INC	15	$1K	<0.01%	-3,266		Timeline
EQSEQUUS TOTAL RETURN INC	405	$1K	<0.01%	new		Timeline
NMTNUVEEN MASS QUALITY MUN INC	100	$1K	<0.01%	0		Timeline
CRD-BCRAWFORD & CO	112	$1K	<0.01%	new		Timeline
MARPSMARINE PETE TR	267	$1K	<0.01%	new		Timeline
SIMGRUPO SIMEC SAB DE C V	150	$1K	<0.01%	-100		Timeline
THRTHERMON GROUP HLDGS INC	45	$1K	<0.01%	-2		Timeline
NTPIFNAM TAI PROPERTY INC	70	$1K	<0.01%	-563		Timeline
EATON VANCE MUN BD FD IIEATON VANCE MUN BD FD II	127	$1K	<0.01%	-69
AMTRUST FINL SVCS INCAMTRUST FINL SVCS INC	38	$1K	<0.01%	-89
REIS INCREIS INC	56	$1K	<0.01%	-303
VOYA INTL HIGH DIVID EQTY INVOYA INTL HIGH DIVID EQTY IN	200	$1K	<0.01%	0
BARNES & NOBLE INCBARNES & NOBLE INC	196	$1K	<0.01%	-934
MDRXVERADIGM INC. COMMON STOCK(DE)	84	$1K	<0.01%	-1,526		Timeline
AAUAFALMADEN MINERALS LTD COM CLASS	900	$1K	<0.01%	0		Timeline
FIRST DEFIANCE FINL CORPFIRST DEFIANCE FINL CORP	40	$1K	<0.01%	new
ORCHIDS PAPER PRODUCTS COORCHIDS PAPER PRODUCTS CO	350	$1K	<0.01%	+155
SANOFISANOFI	1,267	$1K	<0.01%	-616
TEEKAY OFFSHORE PARTNERS LPTEEKAY OFFSHORE PARTNERS LP	538	$1K	<0.01%	+175
FIVE STAR SENIOR LIVINGFIVE STAR SENIOR LIVING	665	$1K	<0.01%	-2,984
BARNES & NOBLE ED INCBARNES & NOBLE ED INC	98	$1K	<0.01%	-616
CUECUE BIOPHARMA INC	120	$1K	<0.01%	0		Timeline
REVANCE THERAPEUTICS INCREVANCE THERAPEUTICS INC	35	$1K	<0.01%	new
JOUNCE THERAPEUTICS INCJOUNCE THERAPEUTICS INC	200	$1K	<0.01%	new
VERTEX ENERGY INCVERTEX ENERGY INC	600	$1K	<0.01%	-11,400
Lee Enterprises IncLee Enterprises Inc	500	$1K	<0.01%	-784
CONTANGO OIL & GAS CO COM N…CONTANGO OIL & GAS CO COM NEW	100	$1K	<0.01%	0
UBFOUNITED SEC BANCSHARES CALIF	116	$1K	<0.01%	new		Timeline
GENERAL MOLY INC COMGENERAL MOLY INC COM	3,000	$1K	<0.01%	0
LIBERTY MEDIA CORP DELLIBERTY MEDIA CORP DEL	47	$1K	<0.01%	-388
PALATIN TECHNOLOGIES INCPALATIN TECHNOLOGIES INC	1,080	$1K	<0.01%	0
PROSHARES TRPROSHARES TR	24	$1K	<0.01%	new
ADAMAS PHARMACEUTICALS INCADAMAS PHARMACEUTICALS INC	50	$1K	<0.01%	-215
TIVITY HEALTH INCTIVITY HEALTH INC	22	$1K	<0.01%	-1
RADIUS HEALTH INCRADIUS HEALTH INC	75	$1K	<0.01%	+68
WORKHORSE GROUP INCWORKHORSE GROUP INC	1,170	$1K	<0.01%	+450
TIDEWATER INC NEWTIDEWATER INC NEW	336	$1K	<0.01%	-309
TIDEWATER INC NEWTIDEWATER INC NEW	362	$1K	<0.01%	-334
AGROFRESH SOLUTIONS INCAGROFRESH SOLUTIONS INC	144	$1K	<0.01%	-1,015
CURIS INCCURIS INC	600	$1K	<0.01%	new
DIREXION SHS ETF TRDIREXION SHS ETF TR	12	$1K	<0.01%	0
LORAL SPACE & COM INCLORAL SPACE & COM INC	21	$1K	<0.01%	0
APPROACH RESOURCES INCAPPROACH RESOURCES INC	504	$1K	<0.01%	0
HORNBECK OFFSHORE SVCS INC NHORNBECK OFFSHORE SVCS INC N	150	$1K	<0.01%	0
PHH CORPPHH CORP	88	$1K	<0.01%	-46
TRINITY BIOTECH PLCTRINITY BIOTECH PLC	300	$1K	<0.01%	new
OCWEN FINL CORPOCWEN FINL CORP	300	$1K	<0.01%	-10,000
TIM PARTICIPACOES S ATIM PARTICIPACOES S A	100	$1K	<0.01%	0
ACHILLION PHARMACEUTICALS INACHILLION PHARMACEUTICALS IN	300	$1K	<0.01%	-2,579
STEMLINE THERAPEUTICS INCSTEMLINE THERAPEUTICS INC	80	$1K	<0.01%	-394
WAGEWORKS INCWAGEWORKS INC	23	$1K	<0.01%	-331
Ambac Financial Group Wt 4/…Ambac Financial Group Wt 4/30/2023	125	$1K	<0.01%	0
SENOMYX INCSENOMYX INC	500	$1K	<0.01%	-260
REALNETWORKS INCREALNETWORKS INC	275	$1K	<0.01%	0
YRC WORLDWIDE INCYRC WORLDWIDE INC	101	$1K	<0.01%	-339
INSIGNIA SYSTEMS INCINSIGNIA SYSTEMS INC	501	$1K	<0.01%	0
USA TRUCK INCUSA TRUCK INC	50	$1K	<0.01%	0
ALIMERA SCIENCES INCALIMERA SCIENCES INC	1,000	$1K	<0.01%	0
TANZANIAN ROYALTY EXPLORATI…TANZANIAN ROYALTY EXPLORATION COR…	2,550	$1K	<0.01%	0
PLURISTEM THERAPEUTICS INCPLURISTEM THERAPEUTICS INC	1,000	$1K	<0.01%	new
PREMIER FINL BANCORP INCPREMIER FINL BANCORP INC	67	$1K	<0.01%	new
DATAWATCH CORPDATAWATCH CORP	100	$1K	<0.01%	0
NII HLDGS INC COM PAR $0.001NII HLDGS INC COM PAR $0.001	121	$1K	<0.01%	0
ONCOCYTE CORPONCOCYTE CORP	500	$1K	<0.01%	0
VITAL THERAPIES INCVITAL THERAPIES INC	2,850	$1K	<0.01%	0
HALCON RES CORPHALCON RES CORP	283	$1K	<0.01%	-294
SMITH MICRO SOFTWARE INCSMITH MICRO SOFTWARE INC	250	$1K	<0.01%	0
ENSYNC INC.ENSYNC INC.	2,000	$1K	<0.01%	0
AIMMUNE THERAPEUTICS INC.AIMMUNE THERAPEUTICS INC.	35	$1K	<0.01%	+2
QUORUM HEALTH CORPQUORUM HEALTH CORP	199	$1K	<0.01%	0
APRICUS BIOSCIENCES INCAPRICUS BIOSCIENCES INC	2,415	$1K	<0.01%	0
DASAN ZHONE SOLUTIONS INCDASAN ZHONE SOLUTIONS INC	42	$1K	<0.01%	0
OPHTHOTECH CORPOPHTHOTECH CORP	300	$1K	<0.01%	0
REXAHN PHARMACEUTICALS INCREXAHN PHARMACEUTICALS INC	900	$1K	<0.01%	-385
NANOVIRICIDES INCNANOVIRICIDES INC	1,501	$1K	<0.01%	0
BBX CAP CORP NEWBBX CAP CORP NEW	142	$1K	<0.01%	+1
CYTORI THERAPEUTICS INCCYTORI THERAPEUTICS INC	2,010	$1K	<0.01%	new
SEADRILL LTDSEADRILL LTD	57	$1K	<0.01%	new
CAESARS ENTMT CORPCAESARS ENTMT CORP	330	$1K	<0.01%	0
CELSION CORPCELSION CORP	466	$1K	<0.01%	+223
PYXUS INTL INCPYXUS INTL INC	30	$1K	<0.01%	new
APPLIED DNA SCIENCES INCAPPLIED DNA SCIENCES INC	1,252	$1K	<0.01%	0
CREDIT SUISSE AG NASSAU BRHCREDIT SUISSE AG NASSAU BRH	90	$1K	<0.01%	0
JOHN HANCOCK EXCHANGE TRADEDJOHN HANCOCK EXCHANGE TRADED	30	$1K	<0.01%	new
SCORPIO BULKERS INCSCORPIO BULKERS INC	200	$1K	<0.01%	0
EYEPOINT PHARMACEUTICALS INCEYEPOINT PHARMACEUTICALS INC	300	$1K	<0.01%	new
BIOLASE INCBIOLASE INC	568	$1K	<0.01%	new
REWALK ROBOTICS LTDREWALK ROBOTICS LTD	1,000	$1K	<0.01%	0
CHECK CAP LTDCHECK CAP LTD	167	$1K	<0.01%	new
BROOKLYN IMMUNOTHERAPEUTICSBROOKLYN IMMUNOTHERAPEUTICS	160	$1K	<0.01%	0
PROTECTIVE INSURANCE CORP- BPROTECTIVE INSURANCE CORP- B	35	$1K	<0.01%	new
BK TECHNOLOGIES INCBK TECHNOLOGIES INC	194	$1K	<0.01%	new
CIM COML TR CORPCIM COML TR CORP	100	$1K	<0.01%	0
EMPIRE RESORTS INCEMPIRE RESORTS INC	107	$1K	<0.01%	0
SANCHEZ MIDSTEAM PARTNERS LPSANCHEZ MIDSTEAM PARTNERS LP	100	$1K	<0.01%	0
TRACON PHARMACEUTICALS INCTRACON PHARMACEUTICALS INC	300	$1K	<0.01%	new
NEOVASC INCNEOVASC INC	270	$1K	<0.01%	new
MCCLATCHY COMCCLATCHY CO	165	$1K	<0.01%	+15
WOORI BKWOORI BK	13	$1K	<0.01%	-8
PROSHARES TR ULTSHRT QQQPROSHARES TR ULTSHRT QQQ	35	$1K	<0.01%	new
RITTER PHARMACEUTICALS INC …RITTER PHARMACEUTICALS INC COM NEW	500	$1K	<0.01%	0
ETF SER SOLUTIONSETF SER SOLUTIONS	42	$1K	<0.01%	new
SAEXPLORATION HLDGS INCSAEXPLORATION HLDGS INC	85	$1K	<0.01%	new
TapImmune IncTapImmune Inc	100	$1K	<0.01%	-500
PARKER DRILLING CO.PARKER DRILLING CO.	406	$1K	<0.01%	new
DEUTSCHE STRATEGIC INCOME TRDEUTSCHE STRATEGIC INCOME TR	116	$1K	<0.01%	-623
TONIX PHARMACEUTICALS HLDG CTONIX PHARMACEUTICALS HLDG C	2,000	$1K	<0.01%	new
RXI PHARMACEUTICALS CORP NEWRXI PHARMACEUTICALS CORP NEW	3,000	$1K	<0.01%	0
DRDDRDGOLD LIMITED	4	$0	0%	-100	Value filed as zero, left out of ratios.	Timeline
RMBSRAMBUS INC DEL	35	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
KRCKILROY REALTY CORP	7	$0	0%	-125	Value filed as zero, left out of ratios.	Timeline
SPSCSPS COMM INC	4	$0	0%	new	Value filed as zero, left out of ratios.	Timeline
NIONIO INC	50	$0	0%	new	Value filed as zero, left out of ratios.	Timeline
LPTHLIGHTPATH TECHNOLOGIES INC	25	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
CBATCBAK ENERGY TECHNOLOGY INC	240	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
ALTALTIMMUNE INC	1	$0	0%	new	Value filed as zero, left out of ratios.	Timeline
QEFASPDR INDEX SHS FDS	2	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
CIGCIA ENERGETICA DE MINAS GERA	269	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
ECHOECHOSTAR CORP	5	$0	0%	-274	Value filed as zero, left out of ratios.	Timeline
ECPGENCORE CAP GROUP INC	6	$0	0%	-11	Value filed as zero, left out of ratios.	Timeline
HRTGHERITAGE INSURANCE HLDGS INC	19	$0	0%	-131	Value filed as zero, left out of ratios.	Timeline
TALOTALOS ENERGY INC	14	$0	0%	new	Value filed as zero, left out of ratios.	Timeline
BANCO SANTANDER MEXICO SABANCO SANTANDER MEXICO SA	32	$0	0%	new	Value filed as zero, left out of ratios.
LEUCENTRUS ENERGY CORP	3	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
ACTGACACIA RESH CORP	148	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
MYEMYERS INDS INC	2	$0	0%	-258	Value filed as zero, left out of ratios.	Timeline
XOMAXOMA ROYALTY CORPORATION	26	$0	0%	-1,500	Value filed as zero, left out of ratios.	Timeline
ESTAESTABLISHMENT LABS HLDGS INC	4	$0	0%	new	Value filed as zero, left out of ratios.	Timeline
KOPNKOPIN CORP	198	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
DHXDHI GROUP INC	155	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
CIG-CCIA ENERGETICA DE MINAS GERA	103	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
VXRTVAXART INC COM NEW (DE)	33	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
GAIAGAIA INC NEW	20	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
NTIPNETWORK-1 TECHNOLOGIES INC	156	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
INTREPID POTASH INCINTREPID POTASH INC	52	$0	0%	-225	Value filed as zero, left out of ratios.
MBOTMICROBOT MED INC	6	$0	0%	new	Value filed as zero, left out of ratios.	Timeline
KOSSKOSS CORP	66	$0	0%	new	Value filed as zero, left out of ratios.	Timeline
Enzo Biochem IncEnzo Biochem Inc	10	$0	0%	0	Value filed as zero, left out of ratios.
MPVDFMOUNTAIN PROV DIAMONDS INC	200	$0	0%	new	Value filed as zero, left out of ratios.	Timeline
NORDIC AMERN OFFSHORE LTDNORDIC AMERN OFFSHORE LTD	56	$0	0%	+16	Value filed as zero, left out of ratios.
INTERNAP CORPORATIONINTERNAP CORPORATION	27	$0	0%	0	Value filed as zero, left out of ratios.
ALLIQUA BIOMEDICAL INCALLIQUA BIOMEDICAL INC	11	$0	0%	0	Value filed as zero, left out of ratios.
COWEN GROUP INCCOWEN GROUP INC	16	$0	0%	-307	Value filed as zero, left out of ratios.
OMNOVA SOLUTIONS INCOMNOVA SOLUTIONS INC	15	$0	0%	-132	Value filed as zero, left out of ratios.
MASONITE INTERNATIONAL CORPMASONITE INTERNATIONAL CORP	6	$0	0%	-135	Value filed as zero, left out of ratios.
SAFEGUARD SCIENTIFICS INCSAFEGUARD SCIENTIFICS INC	50	$0	0%	0	Value filed as zero, left out of ratios.
SCORPIO TANKERS INCSCORPIO TANKERS INC	100	$0	0%	0	Value filed as zero, left out of ratios.
Western Midstream PartnersWestern Midstream Partners	15	$0	0%	0	Value filed as zero, left out of ratios.
GLOBALSTAR INCGLOBALSTAR INC	100	$0	0%	0	Value filed as zero, left out of ratios.
BABCOCK & WILCOX ENTERPRISE…BABCOCK & WILCOX ENTERPRISES INC	8	$0	0%	-390	Value filed as zero, left out of ratios.
INUVO INCINUVO INC	700	$0	0%	+100	Value filed as zero, left out of ratios.
MACKMerrimack Pharmaceuticals Inc	60	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
AMYRIS INCAMYRIS INC	11	$0	0%	0	Value filed as zero, left out of ratios.
CTI BIOPHARMA CORPCTI BIOPHARMA CORP	20	$0	0%	0	Value filed as zero, left out of ratios.
PAVMED INCPAVMED INC	200	$0	0%	new	Value filed as zero, left out of ratios.
EMAGIN CORPEMAGIN CORP	51	$0	0%	0	Value filed as zero, left out of ratios.
NCI BUILDING SYSTEMS INCNCI BUILDING SYSTEMS INC	33	$0	0%	-110	Value filed as zero, left out of ratios.
PIER 1 IMPORTS INCPIER 1 IMPORTS INC	60	$0	0%	0	Value filed as zero, left out of ratios.
REGULUS THERAPEUTICS INCREGULUS THERAPEUTICS INC	2,000	$0	0%	-6,900	Value filed as zero, left out of ratios.
AEGEAN MARINE PETROLEUM NETWAEGEAN MARINE PETROLEUM NETW	164	$0	0%	0	Value filed as zero, left out of ratios.
RAND CAP CORPRAND CAP CORP	200	$0	0%	0	Value filed as zero, left out of ratios.
MITCHAM INDS INC COMMITCHAM INDS INC COM	100	$0	0%	0	Value filed as zero, left out of ratios.
S&W SEED COMPANY COMS&W SEED COMPANY COM	100	$0	0%	0	Value filed as zero, left out of ratios.
GOLDEN MINERALS COMPANYGOLDEN MINERALS COMPANY	154	$0	0%	0	Value filed as zero, left out of ratios.
VALHI INC NEWVALHI INC NEW	170	$0	0%	new	Value filed as zero, left out of ratios.
SEARS HOMETOWN & OUTLET STORSEARS HOMETOWN & OUTLET STOR	14	$0	0%	+7	Value filed as zero, left out of ratios.
ORION ENERGY SYSTEMS INCORION ENERGY SYSTEMS INC	100	$0	0%	0	Value filed as zero, left out of ratios.
ASCENT CAPITAL GROUP INC-AASCENT CAPITAL GROUP INC-A	10	$0	0%	+1	Value filed as zero, left out of ratios.
SYNACOR INCSYNACOR INC	300	$0	0%	0	Value filed as zero, left out of ratios.
CHEROKEE INCCHEROKEE INC	215	$0	0%	new	Value filed as zero, left out of ratios.
SUNLINK HEALTH SYSTEMS INCSUNLINK HEALTH SYSTEMS INC	362	$0	0%	new	Value filed as zero, left out of ratios.
CELGENE CORPCELGENE CORP	43	$0	0%	0	Value filed as zero, left out of ratios.
PACIFIC ETHANOL INC PAR $.0…PACIFIC ETHANOL INC PAR $.001	9	$0	0%	0	Value filed as zero, left out of ratios.
CITIGROUP INCCITIGROUP INC	100,000	$0	0%	new	Value filed as zero, left out of ratios.
SEQUANS COMMUNICATIONS SASEQUANS COMMUNICATIONS SA	235	$0	0%	0	Value filed as zero, left out of ratios.
ON TRACK INNOVATION LTDON TRACK INNOVATION LTD	500	$0	0%	-40,000	Value filed as zero, left out of ratios.
BROADVISION INCBROADVISION INC	85	$0	0%	0	Value filed as zero, left out of ratios.
ARC GROUP WORLDWIDE INCARC GROUP WORLDWIDE INC	63	$0	0%	0	Value filed as zero, left out of ratios.
CHINA JO-JO DRUGSTORES INCCHINA JO-JO DRUGSTORES INC	180	$0	0%	0	Value filed as zero, left out of ratios.
PROSHARES TR II ULTRA VIX S…PROSHARES TR II ULTRA VIX SHORT T…	2	$0	0%	new	Value filed as zero, left out of ratios.
AETERNA ZENTARIS INCAETERNA ZENTARIS INC	3	$0	0%	0	Value filed as zero, left out of ratios.
TENAX THERAPEUTICS INCTENAX THERAPEUTICS INC	18	$0	0%	new	Value filed as zero, left out of ratios.
Proshares VIX Short-TermProshares VIX Short-Term	5	$0	0%	0	Value filed as zero, left out of ratios.
REAL GOODS SOLAR XXXREGISTR…REAL GOODS SOLAR XXXREGISTRATION …	1	$0	0%	0	Value filed as zero, left out of ratios.
LEJU HLDGS LTDLEJU HLDGS LTD	5	$0	0%	0	Value filed as zero, left out of ratios.
Pareteum CorporationPareteum Corporation	160	$0	0%	0	Value filed as zero, left out of ratios.
PROSHARES TRPROSHARES TR	12	$0	0%	0	Value filed as zero, left out of ratios.
ARADIGM CORPARADIGM CORP	2	$0	0%	-190	Value filed as zero, left out of ratios.
GREAT ELM CAP GROUP INCGREAT ELM CAP GROUP INC	2	$0	0%	0	Value filed as zero, left out of ratios.
COMMUNITY HEALTH SYS INC NEWCOMMUNITY HEALTH SYS INC NEW	1,220	$0	0%	0	Value filed as zero, left out of ratios.
PLATINUM GROUP METALS LTDPLATINUM GROUP METALS LTD	826	$0	0%	+500	Value filed as zero, left out of ratios.
PROSHARES TRPROSHARES TR	15	$0	0%	0	Value filed as zero, left out of ratios.
NOVELION THERAPEUTICS INCNOVELION THERAPEUTICS INC	177	$0	0%	0	Value filed as zero, left out of ratios.
PERNIX THERAPEUTICS HLDGS INPERNIX THERAPEUTICS HLDGS IN	9	$0	0%	-5	Value filed as zero, left out of ratios.
MFC BANCORP LTDMFC BANCORP LTD	52	$0	0%	0	Value filed as zero, left out of ratios.
WESTWATER RES INCWESTWATER RES INC	727	$0	0%	-16	Value filed as zero, left out of ratios.
DRYSHIPS INCDRYSHIPS INC	3	$0	0%	0	Value filed as zero, left out of ratios.
BELLATRIX EXPLORATION LTDBELLATRIX EXPLORATION LTD	2	$0	0%	0	Value filed as zero, left out of ratios.
ACHIEVE LIFE SCIENCE INCACHIEVE LIFE SCIENCE INC	2	$0	0%	new	Value filed as zero, left out of ratios.
DHX MEDIA LTDDHX MEDIA LTD	290	$0	0%	new	Value filed as zero, left out of ratios.
ELOXX PHARMACEUTICALS INCELOXX PHARMACEUTICALS INC	1	$0	0%	new	Value filed as zero, left out of ratios.
ENERGY FOCUS INCENERGY FOCUS INC	200	$0	0%	-1,000	Value filed as zero, left out of ratios.
180 DEGREE CAP CORP180 DEGREE CAP CORP	100	$0	0%	0	Value filed as zero, left out of ratios.
CLEVELAND BIOLABS INCCLEVELAND BIOLABS INC	20	$0	0%	0	Value filed as zero, left out of ratios.
GREAT ELM CAP CORPGREAT ELM CAP CORP	1	$0	0%	-2,100	Value filed as zero, left out of ratios.
NANO DIMENSION LTDNANO DIMENSION LTD	100	$0	0%	new	Value filed as zero, left out of ratios.
AYTU BIOSCIENCE INCAYTU BIOSCIENCE INC	1	$0	0%	new	Value filed as zero, left out of ratios.
PROSHARES TRPROSHARES TR	2	$0	0%	0	Value filed as zero, left out of ratios.
ENDURANCE INTL GROUP HLDGS IENDURANCE INTL GROUP HLDGS I	7	$0	0%	0	Value filed as zero, left out of ratios.
BONANZA CREEK ENERGY INCBONANZA CREEK ENERGY INC	4	$0	0%	0	Value filed as zero, left out of ratios.
CHIASMA INCCHIASMA INC	16	$0	0%	0	Value filed as zero, left out of ratios.
STEEL CONNECT INCSTEEL CONNECT INC	100	$0	0%	0	Value filed as zero, left out of ratios.
ONCONOVA THERAPEUTICONCONOVA THERAPEUTIC	67	$0	0%	new	Value filed as zero, left out of ratios.
DARIOHEALTH CORPDARIOHEALTH CORP	523	$0	0%	0	Value filed as zero, left out of ratios.
CYTRX CORPCYTRX CORP	440	$0	0%	-270	Value filed as zero, left out of ratios.
AKERS BIOSCIENCES INCAKERS BIOSCIENCES INC	500	$0	0%	new	Value filed as zero, left out of ratios.
CDTI ADVANCED MATLS INCCDTI ADVANCED MATLS INC	40	$0	0%	new	Value filed as zero, left out of ratios.
GREEN BANCORP INCGREEN BANCORP INC	14	$0	0%	-27	Value filed as zero, left out of ratios.
MOLECULIN BIOTECH INCMOLECULIN BIOTECH INC	100	$0	0%	0	Value filed as zero, left out of ratios.
J ALEXANDERS HLDGS INCJ ALEXANDERS HLDGS INC	29	$0	0%	-14	Value filed as zero, left out of ratios.
TITAN PHARMACEUTICALS INC DETITAN PHARMACEUTICALS INC DE	202	$0	0%	+200	Value filed as zero, left out of ratios.
SELLAS LIFE SCIENCES GROUP ISELLAS LIFE SCIENCES GROUP I	131	$0	0%	0	Value filed as zero, left out of ratios.
ASTERIAS BIOTHERAPEUTICS INCASTERIAS BIOTHERAPEUTICS INC	404	$0	0%	-41	Value filed as zero, left out of ratios.
YIELD10 BIOSCIENCE INCYIELD10 BIOSCIENCE INC	18	$0	0%	0	Value filed as zero, left out of ratios.
WESTMORELAND RESOURCE PARTN…WESTMORELAND RESOURCE PARTNE COM …	38	$0	0%	0	Value filed as zero, left out of ratios.
National Holdings 22 WtsNational Holdings 22 Wts	2	$0	0%	0	Value filed as zero, left out of ratios.
National Holdings Corporati…National Holdings Corporation	2	$0	0%	0	Value filed as zero, left out of ratios.
RENREN INCRENREN INC	40	$0	0%	-40	Value filed as zero, left out of ratios.
CIVEO CORP CDACIVEO CORP CDA	157	$0	0%	-11,312	Value filed as zero, left out of ratios.
DIREXION SHS ETF TRDIREXION SHS ETF TR	2	$0	0%	new	Value filed as zero, left out of ratios.
DITECH HLDG CORPDITECH HLDG CORP	2	$0	0%	new	Value filed as zero, left out of ratios.
DITECH HLDG CORPDITECH HLDG CORP	2	$0	0%	new	Value filed as zero, left out of ratios.
EVINE LIVE INCEVINE LIVE INC	100	$0	0%	new	Value filed as zero, left out of ratios.
FLEX PHARMA INCFLEX PHARMA INC	100	$0	0%	0	Value filed as zero, left out of ratios.
KEY ENERGY SVCS INC DELKEY ENERGY SVCS INC DEL	16	$0	0%	0	Value filed as zero, left out of ratios.
TOP SHIPS INCTOP SHIPS INC	22	$0	0%	0	Value filed as zero, left out of ratios.
HEMISPHERX BIOPHARMA INCHEMISPHERX BIOPHARMA INC	1,080	$0	0%	0	Value filed as zero, left out of ratios.
JONES ENERGY INCJONES ENERGY INC	52	$0	0%	new	Value filed as zero, left out of ratios.
STELLAR BIOTECHNOLOGIES INCSTELLAR BIOTECHNOLOGIES INC	47	$0	0%	new	Value filed as zero, left out of ratios.
MAGNEGAS CORPMAGNEGAS CORP	150	$0	0%	0	Value filed as zero, left out of ratios.
MARATHON PATENT GROUP INCMARATHON PATENT GROUP INC	500	$0	0%	0	Value filed as zero, left out of ratios.
INVIVO THERAPEUTICS HLDGS C…INVIVO THERAPEUTICS HLDGS CO COM	209	$0	0%	new	Value filed as zero, left out of ratios.
SEQUENTIAL BRNDS GROUP ISEQUENTIAL BRNDS GROUP I	107	$0	0%	-13	Value filed as zero, left out of ratios.
PROSHARES TRPROSHARES TR	6	$0	0%	0	Value filed as zero, left out of ratios.
TALOS ENERGY INCTALOS ENERGY INC	62	$0	0%	new	Value filed as zero, left out of ratios.
RELIV INTERNATIONAL INCRELIV INTERNATIONAL INC	14	$0	0%	0	Value filed as zero, left out of ratios.
PAIN THERAPEUTICS INCPAIN THERAPEUTICS INC	200	$0	0%	new	Value filed as zero, left out of ratios.
SYNTHESIS ENERGY SYS INCSYNTHESIS ENERGY SYS INC	38	$0	0%	0	Value filed as zero, left out of ratios.
ARCA BIOPHARMA INCARCA BIOPHARMA INC	47	$0	0%	0	Value filed as zero, left out of ratios.
XG TECHNOLOGY INCXG TECHNOLOGY INC	1	$0	0%	0	Value filed as zero, left out of ratios.
XPRESSPA GROUP INCXPRESSPA GROUP INC	1,666	$0	0%	0	Value filed as zero, left out of ratios.
SUNWORKS INCSUNWORKS INC	700	$0	0%	0	Value filed as zero, left out of ratios.
OPGEN INCOPGEN INC	124	$0	0%	0	Value filed as zero, left out of ratios.
OPPENHEIMER ETF TROPPENHEIMER ETF TR	11	$0	0%	0	Value filed as zero, left out of ratios.
INPIXONINPIXON	10	$0	0%	0	Value filed as zero, left out of ratios.
GULFMARK OFFSHORE INCGULFMARK OFFSHORE INC	18	$0	0%	0	Value filed as zero, left out of ratios.
CHINA ADVANCED CONSTR MATLSCHINA ADVANCED CONSTR MATLS	20	$0	0%	0	Value filed as zero, left out of ratios.
SPHERE 3D CORP NEWSPHERE 3D CORP NEW	4	$0	0%	0	Value filed as zero, left out of ratios.
RMG NETWORKS HLDG CORPRMG NETWORKS HLDG CORP	46	$0	0%	0	Value filed as zero, left out of ratios.

Sold out in Q3 2018

Positions in the previous quarter's report that this quarter's report no longer lists.

The largest 100 of 634. All 634

Security	Shares before	Value before	Type
PowerShares QQQ Trust Unit …PowerShares QQQ Trust Unit Ser	761,368	$122M	shares
Guggenheim S&P 500 Equal We…Guggenheim S&P 500 Equal Weighted…	586,613	$58.3M	shares
POWERSHARES ETF TR II S&P50…POWERSHARES ETF TR II S&P500 H	938,347	$39.8M	shares
CLAYMORE EXCHANGE TRD FD TRCLAYMORE EXCHANGE TRD FD TR	566,878	$28.5M	shares
POWERSHARES ETF TR II S&P50…POWERSHARES ETF TR II S&P500 L	432,574	$20.3M	shares
RYDEX ETF TRUSTRYDEX ETF TRUST	127,933	$14.7M	shares
COLONY NORTHSTAR CR REAL ESTCOLONY NORTHSTAR CR REAL EST	507,629	$9.62M	shares
POWERSHARES ETF TR IIPOWERSHARES ETF TR II	233,999	$9.22M	shares
POWERSHARES NASDAQ INTERNEPOWERSHARES NASDAQ INTERNE	67,629	$8.64M	shares
POWERSHARESPOWERSHARES	268,578	$7.57M	shares
Invesco S&P 500 Pure GrowthInvesco S&P 500 Pure Growth	64,180	$7.04M	shares
POWERSHARES ETF TRUSTPOWERSHARES ETF TRUST	222,052	$6.61M	shares
POWERSHARES EXCHANGEPOWERSHARES EXCHANGE	139,428	$6.25M	shares
CLAYMORE EXCHANGE TRD FD TRCLAYMORE EXCHANGE TRD FD TR	256,425	$6.24M	shares
POWERSHARESPOWERSHARES	312,994	$5.87M	shares
POWERSHARES GLOBAL ETF TRUSTPOWERSHARES GLOBAL ETF TRUST	229,752	$5.75M	shares
POWERSHARES ETF TR IIPOWERSHARES ETF TR II	224,259	$5.64M	shares
POWERSHARES ETF TR IIPOWERSHARES ETF TR II	186,457	$5.62M	shares
POWERSHARESPOWERSHARES	334,781	$4.89M	shares
POWERSHARESPOWERSHARES	275,367	$4.66M	shares
POWERSHARESPOWERSHARES	198,565	$4.59M	shares
RYDEX S&P EQ WEIGHT TECHN E…RYDEX S&P EQ WEIGHT TECHN ETF(RYT)	29,524	$4.47M	shares
CLAYMORE EXCHANGE TRD FD TRCLAYMORE EXCHANGE TRD FD TR	173,685	$4.21M	shares
POWERSHARES DYN SEMICONDUCTPOWERSHARES DYN SEMICONDUCT	79,006	$4.17M	shares
POWERSHARESPOWERSHARES	73,315	$4.17M	shares
RYDEX ETF TRUST TOP 50 ETFRYDEX ETF TRUST TOP 50 ETF	22,135	$4.13M	shares
CLAYMORE EXCHANGE TRD FD TRCLAYMORE EXCHANGE TRD FD TR	159,834	$4.02M	shares
CLAYMORE EXCHANGE TRD FD TRCLAYMORE EXCHANGE TRD FD TR	168,706	$3.55M	shares
FIRST TR STRATEGIC HIGH INCFIRST TR STRATEGIC HIGH INC	289,892	$3.54M	shares
CLAYMORE EXCHANGE TRD FD TRCLAYMORE EXCHANGE TRD FD TR	168,220	$3.5M	shares
BROADCOM LTDBROADCOM LTD	14,330	$3.38M	shares
KKR & CO LPKKR & CO LP	165,998	$3.36M	shares
POWERSHARES ETF TRUSTPOWERSHARES ETF TRUST	65,746	$3.23M	shares
CLAYMORE EXCHANGE TRD FD TRCLAYMORE EXCHANGE TRD FD TR	150,685	$3.16M	shares
PowerShares CEF Income Comp…PowerShares CEF Income Composite	134,130	$3.07M	shares
RYDEX ETF TRUSTRYDEX ETF TRUST	23,830	$3.02M	shares
INVESCO WATER RESOURCES ETFINVESCO WATER RESOURCES ETF	95,699	$2.92M	shares
POWERSHARES S&P SMALLCA…POWERSHARES S&P SMALLCAP LOW	62,121	$2.8M	shares
Invesco Optm Yd Dvrs Cdty S…Invesco Optm Yd Dvrs Cdty Stra No…	156,997	$2.79M	shares
CLAYMORE EXCHANGE TRD FD TRCLAYMORE EXCHANGE TRD FD TR	132,245	$2.75M	shares
POWERSHARES ETF TR II S&P S…POWERSHARES ETF TR II S&P SMCP	24,387	$2.72M	shares
POWERSHARES ETF TRUST DWA T…POWERSHARES ETF TRUST DWA TECH	50,705	$2.67M	shares
TIME WARNER INCTIME WARNER INC	28,122	$2.66M	shares
MONSANTO CO NEWMONSANTO CO NEW	22,605	$2.64M	shares
POWERSHARES ETF TR IIPOWERSHARES ETF TR II	66,524	$2.49M	shares
STRATEGYSTRATEGY	63,352	$2.46M	shares
QEMMSPDR INDEX SHS FDS	34,985	$2.27M	shares
FTSE RAFI 1000 US Lg CapFTSE RAFI 1000 US Lg Cap	20,561	$2.27M	shares
POWERSHARES FUNDAMENTAL PUR…POWERSHARES FUNDAMENTAL PURE MID …	48,810	$2.23M	shares
COLONY NORTHSTAR INCCOLONY NORTHSTAR INC	395,099	$2.22M	shares
INVESCO FINANCIAL PREFERRED…INVESCO FINANCIAL PREFERRED ETF	118,622	$2.2M	shares
PRUDENTIAL SHT DURATION HG YPRUDENTIAL SHT DURATION HG Y	147,635	$2.09M	shares
CLAYMORE EXCHANGE TRD FD TRCLAYMORE EXCHANGE TRD FD TR	98,394	$2.08M	shares
INVESCO AEROSPACE & DEFENSE…INVESCO AEROSPACE & DEFENSE ETF	35,429	$2.01M	shares
RYDEX ETF TRUST HEALTH CARERYDEX ETF TRUST HEALTH CARE	11,198	$2.01M	shares
CLAYMORE EXCHANGE TRD FD TRCLAYMORE EXCHANGE TRD FD TR	80,562	$1.99M	shares
POWERSHARES ETF TRUST INTL …POWERSHARES ETF TRUST INTL DIV	124,103	$1.96M	shares
POWERSHARES ETF TR IIPOWERSHARES ETF TR II	35,118	$1.93M	shares
WILLIAMS PARTNERS L P NEWWILLIAMS PARTNERS L P NEW	54,119	$1.86M	shares
POWERSHARESPOWERSHARES	79,862	$1.81M	shares
RYDEX GUGGENHEIMRYDEX GUGGENHEIM	15,000	$1.79M	shares
FQF TRFQF TR	58,491	$1.78M	shares
PRUDENTIAL GLB SHT DUR HG YLPRUDENTIAL GLB SHT DUR HG YL	126,056	$1.75M	shares
DR PEPPER SNAPPLE GROUP INCDR PEPPER SNAPPLE GROUP INC	14,195	$1.68M	shares
POWERSHARESPOWERSHARES	44,301	$1.62M	shares
GUGGENHEIM ETFGUGGENHEIM ETF	28,718	$1.56M	shares
GUGGENHEIM MID-CAP CORE ETFGUGGENHEIM MID-CAP CORE ETF	23,835	$1.55M	shares
CORENERGY INFRASTRUCTURE TRCORENERGY INFRASTRUCTURE TR	61,105	$1.53M	shares
RYDEX ETF TRUSTRYDEX ETF TRUST	34,701	$1.52M	shares
Invesco Intl Developed Low …Invesco Intl Developed Low Vol	44,859	$1.49M	shares
POWERSHARES ETF TR IIPOWERSHARES ETF TR II	56,586	$1.43M	shares
POWERSHARES GLOBAL ETF FDPOWERSHARES GLOBAL ETF FD	64,886	$1.37M	shares
POWERSHARES ETF TRUST DYN B…POWERSHARES ETF TRUST DYN BLDG	40,058	$1.25M	shares
Rydex S&P 500 Pure Value EtfRydex S&P 500 Pure Value Etf	18,861	$1.22M	shares
POWERSHS DB US DOLLAR INDEX…POWERSHS DB US DOLLAR INDEX DO	51,610	$1.22M	shares
RYDEX GUGGENHEIMRYDEX GUGGENHEIM	12,375	$1.22M	shares
POWERSHS DB MULTI SECT COMM…POWERSHS DB MULTI SECT COMM DB	31,287	$1.21M	shares
RYDEX ETF TRUSTRYDEX ETF TRUST	11,195	$1.19M	shares
Guggenheim BulletShares 202…Guggenheim BulletShares 2023 C	58,036	$1.18M	shares
RESOURCE CAP CORPRESOURCE CAP CORP	124,298	$1.18M	shares
ATHENEX INCATHENEX INC	69,307	$1.18M	shares
LEUCADIA NATL CORPLEUCADIA NATL CORP	46,227	$1.05M	shares
POWERSHARES ETF TRUST DIV A…POWERSHARES ETF TRUST DIV ACHV	41,129	$1.04M	shares
AMERICAN CAP SR FLOATING LTDAMERICAN CAP SR FLOATING LTD	92,698	$1.03M	shares
POWERSHARES GLOBAL ETF TRUS…POWERSHARES GLOBAL ETF TRUSTHI	54,504	$1.01M	shares
RYDEX ETF TRUSTRYDEX ETF TRUST	6,169	$976K	shares
POWERSHARES ETF TRUST IIPOWERSHARES ETF TRUST II	43,778	$942K	shares
Guggenheim Exch Trd FdGuggenheim Exch Trd Fd	40,850	$878K	shares
WESTAR ENERGY INCWESTAR ENERGY INC	16,580	$870K	shares
RYDEX ETF TRUSTRYDEX ETF TRUST	10,338	$854K	shares
POWERSHARES ETF TRUSTPOWERSHARES ETF TRUST	13,327	$832K	shares
CLAYMORE EXCHANGE TRD FD TRCLAYMORE EXCHANGE TRD FD TR	17,348	$804K	shares
BulletShares 2024 CorporateBulletShares 2024 Corporate	39,531	$801K	shares
PROSHARES TRPROSHARES TR	63,102	$769K	shares
GUGGENHEIMGUGGENHEIM	14,331	$764K	shares
POWERSHARES ETF TRUST IIPOWERSHARES ETF TRUST II	22,463	$701K	shares
ORBITAL ATK INCORBITAL ATK INC	5,218	$692K	shares
POWERSHARES ETF TRUSTPOWERSHARES ETF TRUST	40,594	$691K	shares
DST SYS INC DELDST SYS INC DEL	8,065	$675K	shares
NUSTAR GP HOLDINGS LLCNUSTAR GP HOLDINGS LLC	56,777	$656K	shares

How Q3 2018 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

Filing	Role	Amendment	Filed	Accepted	Ingested
13F-HR 0001493152-18-016044	base		2018-11-14	acceptance time not in the bulk data set	2026-10-07 19:03:47 UTC