InvestorUBS Group AG
Insider ProfileUBS Group AG
Portfolio Value $ 243,355,484,000
Current Positions7,818
Opened Positions5
Closed Positions634


Latest Holdings, Performance, AUM (from 13F, 13D)

UBS Group AG has disclosed 7,818 total holdings in their latest SEC filings. Most recent portfolio value is calculated to be $ 243,355,484,000 USD. Actual Assets Under Management (AUM) is this value plus cash (which is not disclosed).

Top Holdings

UBS Group AG's top holdings are SPDR S&P 500 ETF Trust (NYSE:SPY) , SPDR S&P 500 ETF Trust (NYSE:SPY) , iShares Russell 2000 ETF (NYSE:IWM) , Apple, Inc. (NASDAQ:AAPL) , and Union Pacific Corp. (NYSE:UNP) . UBS Group AG's new positions include Aptiv PLC (NYSE:APTV) , CNX Resources Corporation (NYSE:CNX.WI) , Salesforce.com, Inc. 0.25% Convertible Bond due 2018-04-01 (79466LAD6) , Coach, Inc. (NYSE:COH) , and Palo Alto Networks, Inc. Bond (697435AB1) . UBS Group AG's top industries are "Fishing hunting and trapping" (sic 09) , "Legal Services" (sic 81) , and "Miscellaneous Repair Services" (sic 76) .

All UBS Group AG holdings are listed in the following tables. Data is sourced from 13D/13G, 13F, and N-Q filings. Green rows indicate new positions. Red rows indicate closed positions.

This is a list of 13D and 13G filings made since the last quarterly 13F report (if any). Click the link icon to see the full transaction history.

File DateFormSecurity Prev
Shares
Current
Shares
Change
(Percent)
Ownership
Change
(Percent)
2018‑02‑14 SC 13G ZG / Zillow Group, Inc. 9,227,856 7.30
2018‑02‑14 SC 13G AEGG / American Energy Group, Ltd. 3,780,483 5.34
2018‑02‑13 SC 13G/A TRUE / TrueCar, Inc. 6,800,844 5,147,504 -24.31 5.15 -35.30
2018‑02‑13 SC 13G/A IGI / Western Asset Investment Grade Defined Opportunity Trust Inc. 746,445 709,673 -4.93 6.57 -4.92
2018‑02‑13 SC 13G/A PRXL / PAREXEL International Corp. 3,182,376
2018‑02‑13 SC 13G/A CEQP / Crestwood Equity Partners LP 4,070,611
2018‑02‑13 SC 13G/A VGI / Virtus Global Multi-Sector Income Fund 639,329
2018‑02‑13 SC 13G SAFE / Safety, Income & Growth Inc. 1,574,672 8.66
2018‑02‑13 SC 13G/A PACB / Pacific Biosciences of California, Inc. 5,825,792
2018‑02‑13 SC 13G EDD / Morgan Stanley Emerging Markets Domestic Debt Fund, Inc. 3,504,278 5.22
2018‑02‑13 SC 13G/A CAR / Avis Budget Group, Inc. 5,753,365
2018‑02‑13 SC 13G/A BKK / BlackRock Municipal 2020 Term Trust 0 0.00 -100.00
2018‑02‑13 SC 13G EVGN / Evogene, Ltd. 1,330,174 5.17
2018‑02‑13 SC 13G/A STKL / SunOpta Inc. 6,500,572 7.49
2018‑02‑13 SC 13G JTA / Nuveen Tax-Advantaged Total Return Strategy Fund 714,243 5.16
2018‑02‑13 SC 13G TLI / Western Asset Corporate Loan Fund Inc. 555,216 5.59
2018‑02‑13 SC 13G BIT / BlackRock Multi-Sector Income Trust 2,659,210 6.97
2018‑02‑13 SC 13G/A ARDC / Ares Dynamic Credit Allocation Fund, Inc. 1,183,731
2018‑02‑13 SC 13G/A ECF / Ellsworth Fund, Ltd. 850,722 835,718 -1.76 6.47 -2.71
2018‑02‑13 SC 13G/A CR / Crane Co. 4,767,033 4,885,264 2.48 8.23 1.23
2018‑02‑13 SC 13G/A BCV / Bancroft Fund, Ltd. 310,518 318,831 2.68 6.23 2.64
2018‑02‑13 SC 13G/A ESD / Western Asset Emerging Market Debt Fund, Inc. 1,612,861
2018‑02‑13 SC 13G HTD / John Hancock Tax-Advantaged Dividend Income Fund 1,984,797 5.36
2018‑02‑09 SC 13G CYOU / Changyou.com, Ltd. 2,975,566 8.62
2018‑02‑09 SC 13G/A STAR / iStar Inc. 3,801,783 5,484,783 44.27 8.04 50.56
2018‑02‑09 SC 13G XISDX / Prudential Short Duration High 3,541,467 10.65

This form was filed on February 14, 2018. Click the link icon to see the full transaction history.

Reporting PeriodFormSecurity Imputed
Share Price
Prev SharesCurrent SharesChange
(Percent)
Prev Value ($K)Current Value ($K)Change
(Percent)
2017-12-31 13F-HR BRQS / Borqs Technologies, Inc. 5.43 1,900 2,580 35.79 21 14 -33.33
2017-12-31 13F-HR WILLSCOT CORP / (971375126) 12.44 1,286 16
2017-12-31 13F-HR KBE / SPDR S&P Bank ETF Call 47.34 0 82,300 0 3,896
2017-12-31 13F-HR ATXI / Avenue Therapeutics Inc. 3.58 0 9,765 0 35
2017-12-31 13F-HR STT / State Street Corp. Call 97.62 0 26,500 0 2,587
2017-12-31 13F-HR INNTW / Innovate Biopharmaceuticals Warrants 0.04 1,400 26,817 1,815.50 0 1
2017-12-31 13F-HR MEXX / Direxion Daily MSCI Mexico Bull 442 0 -100.00 12 0 -100.00
2017-12-31 13F-HR ADNT / Adient plc Call 18,500 0 -100.00 1,554 0 -100.00
2017-12-31 13F-HR MATR / Mattersight Corp. 3,486 0 -100.00 10 0 -100.00
2017-12-31 13F-HR GDXX / ProShares Ultra Gold Miners ETF 1,407 0 -100.00 58 0 -100.00
2017-12-31 13F-HR ALNA / Allena Pharmaceuticals, Inc. 10.13 1,974 20
2017-12-31 13F-HR ALLIANCEBERNSTEIN NATL MUNI / (01864U106) 13.40 109,559 1,468
2017-12-31 13F-HR ALLIANZGI DIVERS INC & CNV F / (01883J108) 21.85 10,342 226
2017-12-31 13F-HR ALLIQUA BIOMEDICAL INC / COM PAR (019621309) 1.86 8,053 15
2017-12-31 13F-HR RFCI / RiverFront Dynamic Core Income ETF 28.57 70 2
2017-12-31 13F-HR ALTAIR ENGR INC / COM CL A (021369103) 24.08 1,163 28
2017-12-31 13F-HR AMEDICA CORP / COM PAR (023435407) 3.37 3,562 12
2017-12-31 13F-HR AMERICA FIRST MULTIFAMILY IN / BEN UNIT CTF (02364V107) 6.05 516,329 3,124
2017-12-31 13F-HR 02917TAB0 / VEREIT, Inc. Bond 10
2017-12-31 13F-HR USAPF / Americas Silver Corporation 3.26 614 2
2017-12-31 13F-HR AMRH / Ameri Holdings, Inc. 6.13 163 1
2017-12-31 13F-HR AMERI HLDGS INC / *W EXP 11/08/202 (02362F112) 0.87 3,463 3
2017-12-31 13F-HR AME / Ametek, Inc. Call 72.48 13,700 993
2017-12-31 13F-HR IBUY / AMPLIFY ETF TR 40.96 1,001 41
2017-12-31 13F-HR AMLX / Amplify YieldShares Oil Hedged MLP Income ETF 20.00 50 1
2017-12-31 13F-HR XACPX / Avenue Income Credit Strategies 14.04 58,414 820
2017-12-31 13F-HR ABYLY / Ablynx NV 24.79 2,219 55
2017-12-31 13F-HR ACMR / ACM Research, Inc. 5.28 2,460 13
2017-12-31 13F-HR FNG / AdvisorShares New Tech and Media 21.43 1,913 41
2017-12-31 13F-HR BLACKROCK MUN 2020 TERM TR / COM SHS (09249X109) 15.00 209,237 3,138
2017-12-31 13F-HR BLACKROCK MUN 2030 TAR TERM / COM SHS BEN IN (09257P105) 22.34 1,859,731 41,546
2017-12-31 13F-HR BLACKROCK MUNIC INCM INVST T / SH BEN INT (09248H105) 14.02 36,723 515
2017-12-31 13F-HR BLACKROCK MUNIHLDGS NJ QLTY / (09254X101) 14.47 350,353 5,070
2017-12-31 13F-HR 09255C106 / Blackrock Muniholdings Ny Insd Fd Inc Bond 13.39 229,432 3,072
2017-12-31 13F-HR BLACKROCK MUNI INCOME TR II / (09249N101) 14.43 301,562 4,352
2017-12-31 13F-HR MNE / BlackRock Muni New York Intermediate Duration Fund, Inc. 13.60 14,047 191
2017-12-31 13F-HR BLACKROCK MUNIYIELD ARIZ FD / (09254K109) 16.47 1,214 20
2017-12-31 13F-HR BLACKROCK MUNIYIELD CALIF FD / (09254M105) 14.79 43,870 649
2017-12-31 13F-HR BLACKROCK MUNIYIELD CALI QLT / (09254N103) 14.66 282,322 4,139
2017-12-31 13F-HR BLACKROCK MUNIYIELD NY QLTY / (09255E102) 12.92 175,579 2,268
2017-12-31 13F-HR BLACKROCK MUNIYIELD PA QLTY / (09255G107) 14.36 66,585 956
2017-12-31 13F-HR BLACKROCK MUNIYLD MICH QLTY / (09254V105) 14.00 145,474 2,037
2017-12-31 13F-HR BLACKROCK NJ MUNICIPAL BOND / (09249A109) 15.02 1,931 29
2017-12-31 13F-HR BLACKROCK N J MUN INCOME TR / SH BEN INT (09248J101) 15.04 8,312 125
2017-12-31 13F-HR BLACKROCK NY MUNI 2018 TERM / (09248K108) 14.69 27,971 411
2017-12-31 13F-HR BLACKROCK NY MUNICIPAL BOND / (09249P106) 14.69 15,721 231
2017-12-31 13F-HR BLACKROCK N Y MUN INCOME TR / SH BEN INT (09248L106) 14.31 89,955 1,287
2017-12-31 13F-HR BLACKROCK NY MUN INCOME TR I / (09249R102) 14.80 27,500 407
2017-12-31 13F-HR BLACKROCK TAX MUNICPAL BD TR / SHS (09248X100) 23.19 810,000 18,784
2017-12-31 13F-HR BLACKROCK VA MUNICIPAL BOND / (092481100) 17.19 14,424 248
2017-12-31 13F-HR ANDINA ACQUISITION CORP II / RIGHT 09/01/2017 (G0441P120) 0.00 100 0
2017-12-31 13F-HR ANDINA ACQUISITION CORP II / SHS (G0441P104) 10.48 2,100 22
2017-12-31 13F-HR ANDINA ACQUISITION CORP II / *W EXP 11/23/202 (G0441P138) 1.86 9,652 18
2017-12-31 13F-HR ANGI HOMESERVICES INC / COM CL A (00183L102) 10.70 1,869 20
2017-12-31 13F-HR APLS / Apellis Pharmaceuticals, Inc. 21.78 3,903 85
2017-12-31 13F-HR APOLLO MEDICAL HLDGS INC / (03763A207) 20.00 100 2
2017-12-31 13F-HR APTV / Aptiv PLC Call 84.79 9,600 814
2017-12-31 13F-HR APTV / Aptiv PLC 84.83 822,761 69,795
2017-12-31 13F-HR AQ / Aquantia Corp. 18.52 54 1
2017-12-31 13F-HR ARH.PRC / Arch Capital Group Ltd. Put 90.76 22,500 2,042
2017-12-31 13F-HR ARCTURUS THERAPEUTICS LTD / SHS (M1492T105) 7.89 1,140 9
2017-12-31 13F-HR 04010LAM5 / Ares Capital Corp. 4.375% Bond Due 1/15/2019 8
2017-12-31 13F-HR ARGX / argenx SE ADS 63.21 1,408 89
2017-12-31 13F-HR PRNT / The 3D Printing ETF 24.05 291 7
2017-12-31 13F-HR ASNS / Arsanis, Inc. 12.77 21,150 270
2017-12-31 13F-HR ASTROTECH CORP / (046484200) 2.68 373 1
2017-12-31 13F-HR ASV / ASV Holdings Inc. 10.50 857 9
2017-12-31 13F-HR ATAC / Atlantic Acquisition Corp. 10.00 1,300 13
2017-12-31 13F-HR AXTA / Axalta Coating Systems Ltd. Put 32.36 500,100 16,183
2017-12-31 13F-HR AYTU BIOSCIENCE INC / COM PAR (054754403) 2.08 1,441 3
2017-12-31 13F-HR AZRE / Azure Power Global Limited 13.99 786 11
2017-12-31 13F-HR BHGE / Baker Hughes, a GE company Call 31.64 70,000 2,215
2017-12-31 13F-HR BANCORPSOUTH BK TUPELO MISS / (05971J102) 31.45 157,975 4,968
2017-12-31 13F-HR BAND / Bandwidth Inc. 23.37 1,369 32
2017-12-31 13F-HR BPRN / Bank Princeton New Jersey 34.30 11,224 385
2017-12-31 13F-HR BARCLAYS BK PLC / ETN+ SEL MLP (06742C723) 20.75 257,404 5,341
2017-12-31 13F-HR BARCLAYS BK PLC / INV USTREA ETN (06742W570) 22.31 986 22
2017-12-31 13F-HR BARCLAYS BK PLC / IPATH S&P500 VIX Call (06746L422) 30.00 200 6
2017-12-31 13F-HR BARCLAYS BK PLC / IPATH S&P500 VIX (06746L422) 27.93 41,750 1,166
2017-12-31 13F-HR BARCLAYS BK PLC / IPT COPPER ETN (06740P189) 36.28 1,075 39
2017-12-31 13F-HR BARCLAYS BK PLC / IPT GRAINS ETN (06740P270) 40.00 25 1
2017-12-31 13F-HR BARCLAYS BK PLC / IPTH CRUDE OIL (06740P221) 17.70 3,220 57
2017-12-31 13F-HR BARCLAYS BK PLC / IPTH ENRGY ETN (06740P312) 0.00 11 0
2017-12-31 13F-HR BARCLAYS BK PLC / IPTH LEAD ETN (06740P197) 41.35 653 27
2017-12-31 13F-HR BARCLAYS BK PLC / IPTH LIVESTK (06740P320) 45.12 953 43
2017-12-31 13F-HR BARCLAYS BK PLC / IPTH PURE COCA (06740P130) 27.90 1,326 37
2017-12-31 13F-HR BARCLAYS BK PLC / IPTH SUGAR ETN (06740P163) 22.88 1,442 33
2017-12-31 13F-HR BARCLAYS BK PLC / IPT NICKEL ETN (06740P213) 21.39 1,449 31
2017-12-31 13F-HR BARCLAYS BK PLC / LKD PERF BCLY (06742W430) 67.90 162 11
2017-12-31 13F-HR BARCLAYS BK PLC / RTRN DISABILIT (06740D830) 0.00 1 0
2017-12-31 13F-HR BARCLAYS BK PLC / RUSS2000 3X LG (06740P403) 174.31 327 57
2017-12-31 13F-HR BARINGS CORPORATE INVS / (06759X107) 15.25 129,220 1,971
2017-12-31 13F-HR BARINGS GLOBAL SHORT DURATIO / (06760L100) 19.38 101,722 1,971
2017-12-31 13F-HR BARINGS PARTN INVS / SH BEN INT (06761A103) 14.10 197,645 2,787
2017-12-31 13F-HR BARINGTON HILCO ACQUISITION / RIGHT 02/13/2017 (06759V119) 0.00 2,014 0
2017-12-31 13F-HR BDXA / Becton Dickinson & Co. 6.125% Preferred Series A 59.57 235 14
2017-12-31 13F-HR BERY / Berry Plastics Group, Inc. Call 58.67 106,500 6,248
2017-12-31 13F-HR BIG ROCK PARTNERS ACQUISI CO / UNIT 11/20/2022 (089482202) 10.00 100 1
2017-12-31 13F-HR BIG ROCK PARTNERS ACQUISI CO / *W EXP 12/01/202 (089482111) 0.00 995 0
2017-12-31 13F-HR BIOBLAST PHARMA LTD / SHS NEW (M20156119) 2.20 2,276 5
2017-12-31 13F-HR BKFS / Black Knight Financial Services, Inc. 44.16 98,538 4,351
2017-12-31 13F-HR BLACKROCK 2022 GBL INCM OPP / (09258P104) 9.80 522,464 5,120
2017-12-31 13F-HR BLACKROCK CALIF MUN INCOME T / SH BEN INT (09248E102) 13.78 457,447 6,304
2017-12-31 13F-HR BLACKROCK CA MUNI 2018 TERM / (09249C105) 14.56 95,615 1,392
2017-12-31 13F-HR BLACKROCK ENH CAP & INC FD I / (09256A109) 16.38 440,246 7,211
2017-12-31 13F-HR BLACKROCK FLA MUN 2020 TERM / COM SHS (09250M109) 14.42 34,327 495
2017-12-31 13F-HR BLACKROCK MASS TAX-EXEMPT TR / SH BEN INT (09258E109) 13.96 10,175 142
2017-12-31 13F-HR BZM / BlackRock Maryland Municipal Bond Trust 20.83 48 1
2017-12-31 13F-HR CAESARS ENTMT CORP / NOTE 5.000%10/0 (127686AA1) 58
2017-12-31 13F-HR TAIL / Cambria Tail Risk ETF 22.78 2,063 47
2017-12-31 13F-HR CATC / Cambridge Bancorp 79.95 2,664 213
2017-12-31 13F-HR CNNE / Cannae Holdings, Inc. 17.01 24,569 418
2017-12-31 13F-HR CAPITOL INVT CORP IV / UNIT 99/99/9999 (G18920119) 10.21 2,350 24
2017-12-31 13F-HR CARG / CarGurus, Inc. 29.92 3,911 117
2017-12-31 13F-HR CAROLINA TR BANCSHARES INC / (14422P105) 10.27 292 3
2017-12-31 13F-HR CRS / Carpenter Technology Corp. Put 50.94 7,342 374
2017-12-31 13F-HR CATS / Catasys Inc. 3.67 2,452 9
2017-12-31 13F-HR CBAK ENERGY TECHNOLOGY INC / (14986C102) 1.46 2,733 4
2017-12-31 13F-HR CBTX / CBTX, Inc. 29.35 511 15
2017-12-31 13F-HR CEL SCI CORP / COM PAR NEW (150837607) 3.51 285 1
2017-12-31 13F-HR CENTER COAST MLP & INFRSTR F / COM SHS (151461100) 9.96 352,172 3,507
2017-12-31 13F-HR CHF SOLUTIONS INC / (12542Q508) 3.64 275 1
2017-12-31 13F-HR CHINA BIOLOGIC PRODS HLDGS I / (G21515104) 78.78 22,645 1,784
2017-12-31 13F-HR CIFS / China Internet Nationwide Financial Services Inc 42.29 1,064 45
2017-12-31 13F-HR CHIPMOS TECHNOLOGIES INC / SPONSORED ADR (16965P103) 17.59 3,184 56
2017-12-31 13F-HR CITIGROUP GBL MKTS HLDGS INC / VELOCITYSHS SHRT (17325K529) 22.00 500 11
2017-12-31 13F-HR CITIGROUP GLOBAL MKTS HLDGS / INVERSE LVRG ETN (17325E309) 13.85 1,661 23
2017-12-31 13F-HR CITIGROUP GLOBAL MKTS HLDGS / LEVERAGD ETN S&P (17325E291) 24.63 3,045 75
2017-12-31 13F-HR CITIUS PHARMACEUTICALS INC / (17322U207) 3.99 1,505 6
2017-12-31 13F-HR CITIUS PHARMACEUTICALS INC / *W EXP 99/99/999 (17322U116) 0.47 4,265 2
2017-12-31 13F-HR CIA / Citizens, Inc. Call 7.36 50,000 368
2017-12-31 13F-HR CLARUS CORP NEW / (18270P109) 7.82 3,326 26
2017-12-31 13F-HR BSJP / Guggenheim BulletShares 2025 Hig 25.00 1,200 30
2017-12-31 13F-HR BSCR / Guggenheim BulletShares 2027 Cor 20.00 500 10
2017-12-31 13F-HR CLEARSIGN COMBUSTION CORP / *W EXP 01/25/201 (185064110) 1.00 3,987 4
2017-12-31 13F-HR CLEVELAND CLIFFS INC / Call (185899101) 7.21 341,900 2,465
2017-12-31 13F-HR CLEVELAND CLIFFS INC / (185899101) 7.21 363,657 2,622
2017-12-31 13F-HR CM SEVEN STAR ACQUISITION CO / SHS (G2345N102) 9.60 2,500 24
2017-12-31 13F-HR CM SEVEN STAR ACQUISITION CO / UNIT 08/21/2022 (G2345N128) 8.57 350 3
2017-12-31 13F-HR CNX.WI / CNX Resources Corporation 14.63 4,632,876 67,779
2017-12-31 13F-HR CODX / Co-Diagnostics Inc 2.13 937 2
2017-12-31 13F-HR COHEN & CO INC NEW / (19249M102) 7.74 1,163 9
2017-12-31 13F-HR DIAL / Columbia Diversified Fixed Incom 19.94 857,912 17,107
2017-12-31 13F-HR COLUMBIA SELIGM PREM TECH GR / (19842X109) 22.25 39,957 889
2017-12-31 13F-HR CMA / Comerica, Inc. Put 86.80 40,000 3,472
2017-12-31 13F-HR COMSTOCK MNG INC / (205750201) 0.00 277 0
2017-12-31 13F-HR CONDOR HOSPITALITY TR INC / (20676Y403) 9.73 2,158 21
2017-12-31 13F-HR CCR / CONSOL Coal Resources LP 16.00 750 12
2017-12-31 13F-HR CONSOL ENERGY INC NEW / (20854L108) 39.51 466,116 18,416
2017-12-31 13F-HR CORENERGY INFRASTRUCTURE TR / DEP SHS REPSTG (21870U304) 25.67 4,246 109
2017-12-31 13F-HR CCT / Corporate Capital Trust, Inc. 16.00 17,754 284
2017-12-31 13F-HR CPI CARD GROUP INC / (12634H200) 3.79 2,903 11
2017-12-31 13F-HR CREDIT SUISSE AG NASSAU BRH / AXELATRDR 3X LNG (22539T258) 0.00 1 0
2017-12-31 13F-HR CREDIT SUISSE AG NASSAU BRH / ETN LKD 34 (22539T456) 9.62 104 1
2017-12-31 13F-HR CREDIT SUISSE AG NASSAU BRH / NT BCOMCL 36 (22539T332) 35.60 927 33
2017-12-31 13F-HR CREDIT SUISSE AG NASSAU BRH / VLCTYSHS 3X S&P (22539T217) 72.25 692 50
2017-12-31 13F-HR CREDIT SUISSE AG NASSAU BRH / XLNKS AMLP ETN36 (22539T290) 19.14 1,306 25
2017-12-31 13F-HR CREDIT SUISSE AG NASSAU BRH / X LNKS MLT ASST (22539T399) 27.48 473 13
2017-12-31 13F-HR CREDIT SUISSE NASSAU BRH / ETN STOXX EUR 50 (22542D100) 137.03 1,496 205
2017-12-31 13F-HR CREDIT SUISSE NASSAU BRH / LG CP GRTH ENH (22542D423) 229.09 275 63
2017-12-31 13F-HR CREDIT SUISSE NASSAU BRH / VELOCITY SHS SHO (22542D365) 11.83 4,397 52
2017-12-31 13F-HR CURO / CURO Group Holdings Corp. 14.19 1,973 28
2017-12-31 13F-HR CURRENCYSHARES CHINESE RENMI / CHIN RENMINBI (23131C107) 0.00 3 0
2017-12-31 13F-HR CURRENCYSHARES SINGAPORE DLR / SHS (23130K100) 68.63 102 7
2017-12-31 13F-HR CURRENCYSHARES SWEDISH KRONA / SWEDISH KRONA (23129R108) 115.70 242 28
2017-12-31 13F-HR CURRENCYSHARES SWISS FRANC T / SWISS FRANC SH (23129V109) 96.83 5,928 574
2017-12-31 13F-HR CUSHING ENERGY INCOME / COM SH BEN INT (23162T102) 9.31 4,942 46
2017-12-31 13F-HR CYTRX CORP / COM PAR (232828608) 1.67 7,782 13
2017-12-31 13F-HR DAN / Dana Holding Corp. Call 32.01 297,300 9,517
2017-12-31 13F-HR DFNL / Davis Fundamental ETF Trust Davis Select Financial ETF 23.91 1,966 47
2017-12-31 13F-HR DWLD / Davis Select Worldwide ETF 26.21 15,450 405
2017-12-31 13F-HR DESC / Deutsche X-trackers Russell 2000 Comprehensive Factor ETF 0.00 4 0
2017-12-31 13F-HR EURZ / Xtrackers Eurozone Equity ETF 20.41 49 1
2017-12-31 13F-HR DCPH / Deciphera Pharmaceuticals, Inc. 22.69 4,407 100
2017-12-31 13F-HR DELAWARE INV CO MUN INC FD I / (246101109) 15.52 9,987 155
2017-12-31 13F-HR VMM / Delaware Investments Minnesota Municipal Income Fund II, Inc. 13.47 79,673 1,073
2017-12-31 13F-HR DELAWARE INVT NAT MUNI INC F / SH BEN INT (24610T108) 13.25 43,157 572
2017-12-31 13F-HR DELPHI TECHNOLOGIES PLC / SHS (G2709G107) 52.47 210,527 11,047
2017-12-31 13F-HR DNLI / Denali Therapeutics Inc. 15.00 200 3
2017-12-31 13F-HR DEUTSCHE BK AG LONDON BRH / FI ENH GL0BAL HY (25155L293) 150.00 200 30
2017-12-31 13F-HR DEUTSCHE MULTI-MKT INCOME TR / SHS (25160E102) 8.66 1,963 17
2017-12-31 13F-HR DEUTSCHE STRATEGIC INCOME TR / SHS (25160F109) 12.35 2,106 26
2017-12-31 13F-HR DIFFUSION PHARMACEUTICALS IN / (253748206) 1.12 8,006 9
2017-12-31 13F-HR EUXL / Direxion Daily EURO STOXX 50r Bu 25.56 626 16
2017-12-31 13F-HR SPDN / Direxion Daily S&P 500 Bear 1X Shares 29.33 375 11
2017-12-31 13F-HR BOOT / Boot Barn Holdings, Inc. Call 16.61 24,500 407
2017-12-31 13F-HR BOXL / Boxlight Corporation 0.00 4 0
2017-12-31 13F-HR BPMP / BP Midstream Partners LP 20.57 283,241 5,826
2017-12-31 13F-HR BSFT / BroadSoft, Inc. Put 54.89 21,900 1,202
2017-12-31 13F-HR BROOKFIELD GLOBL LISTED INFR / COM SHS (11273Q109) 12.93 121,125 1,566
2017-12-31 13F-HR AA / Alcoa Corp. Put 53.88 32,200 1,735
2017-12-31 13F-HR FGL HLDGS / *W EXP 11/30/202 (G3402M110) 0.00 550 0
2017-12-31 13F-HR FDBC / Fidelity D&D Bancorp, Inc. 43.01 279 12
2017-12-31 13F-HR FIRST TR/ABERDEEN EMERG OPT / (33731K102) 16.33 41,149 672
2017-12-31 13F-HR FIRST TR ABERDEEN GLBL OPP F / COM SHS (337319107) 11.66 64,327 750
2017-12-31 13F-HR DMC GLOBAL INC / (23291C103) 25.11 1,633 41
2017-12-31 13F-HR DOGNESS INTERNATIONAL CORP / COM CL A (G2788T103) 7.04 426 3
2017-12-31 13F-HR DOLPHIN ENTMT INC / (25686H100) 3.52 1,421 5
2017-12-31 13F-HR DOLPHIN ENTMT INC / *W EXP 12/26/202 (25686H118) 0.00 776 0
2017-12-31 13F-HR UFS / Domator Corp. Call 49.53 48,600 2,407
2017-12-31 13F-HR DOUBLELINE OPPORTUNISTIC CR / (258623107) 22.19 335,290 7,440
2017-12-31 13F-HR DRAGON VICTORY INTL LTD / SHS (G28365107) 4.57 2,189 10
2017-12-31 13F-HR DRAPER OAKWOOD TECHNOLOGY / COM CL A (26146L103) 10.00 1,100 11
2017-12-31 13F-HR DREYFUS ALCENTRA GBL CR INCO / (26189A105) 9.42 39,500 372
2017-12-31 13F-HR DUFF & PHELPS UTIL CORP BD T / (26432K108) 8.84 34,948 309
2017-12-31 13F-HR DYN / Dynegy Inc. Call 11.85 327,500 3,881
2017-12-31 13F-HR EAGLE CAP GROWTH FD INC / (269451100) 7.88 8,121 64
2017-12-31 13F-HR EAGLE FINL BANCORP INC / (26952G107) 16.40 1,524 25
2017-12-31 13F-HR EAGLE GRWTH & INCOME OPPTY F / COM SHS BEN IN (26958J105) 16.75 2,507 42
2017-12-31 13F-HR ESDI / Eastside Distilling, Inc. 0.00 211 0
2017-12-31 13F-HR EATON VANCE FLTNG RATE 2022 / (27831H100) 9.24 282,606 2,611
2017-12-31 13F-HR ERI / Eldorado Resorts, Inc. Call 33.15 500,000 16,575
2017-12-31 13F-HR LVHB / Elkhorn Lunt Low Vol/High Beta Tactical ETF 32.26 713 23
2017-12-31 13F-HR EL PASO ENERGY CAP TR I / PFD CV TR SECS (283678209) 47.54 8,183 389
2017-12-31 13F-HR ELTEK LTD / SHS (M40184208) 4.08 1,717 7
2017-12-31 13F-HR ECPG / Encore Capital Group, Inc. Call 42.00 4,000 168
2017-12-31 13F-HR ENERGY XXI GULF COAST INC / (29276K101) 5.60 2,678 15
2017-12-31 13F-HR ENSCO JERSEY FIN LTD / NOTE 3.000% 1/3 (29359WAB1) 4,755
2017-12-31 13F-HR EVHC / Envision Healthcare Holdings, Inc. Call 34.65 4,300 149
2017-12-31 13F-HR EYRYY / Erytech Pharma 21.99 1,637 36
2017-12-31 13F-HR AIEQ / AI Powered Equity ETF 25.81 620 16
2017-12-31 13F-HR ACSI / American Customer Satisfaction Core Alpha ETF 32.26 155 5
2017-12-31 13F-HR FTVA / Aptus Fortified Value ETF 27.50 800 22
2017-12-31 13F-HR AQUA / Evoqua Water Technologies Corp. 25.10 239 6
2017-12-31 13F-HR VMAX / REX VolMAXX Long VIX Weekly Futures Strategy ETF 11.82 1,015 12
2017-12-31 13F-HR FIRST TR SR FLG RTE INCM FD / (33733U108) 12.90 226,837 2,926
2017-12-31 13F-HR FIRST TR SR FLOATING RATE 20 / COM SHS (33740K101) 9.13 172,531 1,576
2017-12-31 13F-HR FIRST TRUST MORTGAGE INCM FD / COM SHS (33734E103) 14.36 4,667 67
2017-12-31 13F-HR FIRST TRUST SPECIALTY FINANC / COM BEN INTR (33733G109) 6.12 8,821 54
2017-12-31 13F-HR FPAY / FlexShopper, Inc. 4.52 664 3
2017-12-31 13F-HR FSCT / ForeScout Technologies, Inc. 31.71 4,983 158
2017-12-31 13F-HR FORESIGHT AUTONOMOUS HLDGS L / SPONSORED ADS (345523104) 4.09 1,955 8
2017-12-31 13F-HR FOUR SEASONS ED CAYMAN INC / ADR (35101A101) 9.36 1,389 13
2017-12-31 13F-HR FLGR / Franklin FTSE Germany ETF 25.00 200 5
2017-12-31 13F-HR FLJP / Franklin FTSE Japan ETF 30.30 132 4
2017-12-31 13F-HR FLMX / Franklin FTSE Mexico ETF 22.73 88 2
2017-12-31 13F-HR FRANKLIN UNVL TR / SH BEN INT (355145103) 7.18 14,203 102
2017-12-31 13F-HR FTRPR / Frontier Communications Corp. Call 6.76 231,100 1,562
2017-12-31 13F-HR FTE NETWORKS INC / COM PAR (30283R402) 13.07 153 2
2017-12-31 13F-HR FNKO / Funko, Inc. 6.38 2,821 18
2017-12-31 13F-HR GABELLI GO ANYWHERE TR / (36250J109) 16.19 247 4
2017-12-31 13F-HR GABELLI HLTHCARE & WELLNESS / SHS (36246K103) 10.32 15,315 158
2017-12-31 13F-HR GABELLI MULTIMEDIA TR INC / (36239Q109) 9.19 18,930 174
2017-12-31 13F-HR GLPG / Galapagos N.V. Call 93.57 1,400 131
2017-12-31 13F-HR GAMCO NAT RES GOLD & INCOME / SH BEN INT (36465E101) 6.71 21,316 143
2017-12-31 13F-HR GAZIT GLOBE LTD / SHS (M4793C102) 10.53 141,482 1,490
2017-12-31 13F-HR GDL FUND / COM SH BEN IT (361570104) 9.67 6,310 61
2017-12-31 13F-HR GEE GROUP INC / (36165A102) 2.60 1,922 5
2017-12-31 13F-HR GIGCAPITAL INC / UNIT 03/06/2025 (37518N205) 10.07 5,861 59
2017-12-31 13F-HR GHYB / Goldman Sachs Access High Yield 56.34 71 4
2017-12-31 13F-HR GIGB / Goldman Sachs Access Investment 60.00 50 3
2017-12-31 13F-HR GSEW / Goldman Sachs Equal Weight U.S. Large Cap Equity ETF 48.78 82 4
2017-12-31 13F-HR GBIL / Goldman Sachs Treasury Access 0-1 Year ETF 99.91 7,957 795
2017-12-31 13F-HR GRAMERCY PPTY TR / (385002308) 26.65 42,446 1,131
2017-12-31 13F-HR GRANITESHARES ETF TR / HIPS US HIGH INC (38747R306) 17.89 2,460 44
2017-12-31 13F-HR GRANITESHARES GOLD TR / SHS BEN INT (38748G101) 137.93 58 8
2017-12-31 13F-HR GREAT ELM CAP CORP / (390320109) 9.84 128,384 1,263
2017-12-31 13F-HR GUGGENHEIM CR ALLOCATION FD / (40168G108) 21.93 140,886 3,090
2017-12-31 13F-HR GULFMARK OFFSHORE INC / *W EXP 11/14/202 (402629117) 0.00 13 0
2017-12-31 13F-HR HBB / Hamilton Beach Brands Holding Co 25.67 10,012 257
2017-12-31 13F-HR HLNE / Hamilton Lane INC 35.29 850 30
2017-12-31 13F-HR HANCOCK JOHN INV TRUST / TAX ADV GLB SH (41013P749) 8.81 9,085 80
2017-12-31 13F-HR HANCOCK JOHN PREMUIM DIV FD / COM SH BEN INT (41013T105) 17.13 461,011 7,897
2017-12-31 13F-HR HAYMAKER ACQUISITION / UNIT 10/19/2022 (420870206) 9.79 2,248 22
2017-12-31 13F-HR HTA / Healthcare Trust of America, Inc. Put 30.00 1,000 30
2017-12-31 13F-HR HECLA MNG CO / PFD CV SER B (422704205) 55.56 144 8
2017-12-31 13F-HR HENNESSY CAP ACQUSTON CORP I / (42588L105) 10.00 1,200 12
2017-12-31 13F-HR HPE / Hewlett Packard Enterprise Company Call 14.36 5,500 79
2017-12-31 13F-HR HIGHLAND FLOATNG RATE OPPRT / SHS BEN INT (43010E404) 15.45 6,407 99
2017-12-31 13F-HR FIRST TR DYNAMIC EUROPE EQT / COM SHS (33740D107) 18.83 730,540 13,757
2017-12-31 13F-HR EDOW / First Trust Dow 30 Equal Weight 20.00 200 4
2017-12-31 13F-HR CIBR / First Trust ISE Global Copper Index Fund Put 20.00 100 2
2017-12-31 13F-HR FTXN / First Trust High Income ETF 21.34 1,031 22
2017-12-31 13F-HR RNDV / First Trust Exchange-Traded Fund VI First Trust US Equity Dividend Select ETF 20.75 241 5
2017-12-31 13F-HR FPEI / First Trust Institutional Prefer 22.32 224 5
2017-12-31 13F-HR ISHARES DOW JONES UBS ROLL S / SHS BEN INT (45032K102) 37.17 5,649 210
2017-12-31 13F-HR ICVT / iShares Convertible Bond ETF 54.65 677 37
2017-12-31 13F-HR IDEV / iShares Core MSCI International 59.52 420 25
2017-12-31 13F-HR IMTB / iShares Core 5-10 Year USD Bond 50.34 437 22
2017-12-31 13F-HR CNDF / iShares Edge MSCI Multifactor Consumer Discretionary ETF 0.00 3 0
2017-12-31 13F-HR AGT / iShares MSCI Argentina and Global Exposure ETF 30.03 666 20
2017-12-31 13F-HR IJJ / iShares S&P Mid-Cap 400 Value ETF Put 160.00 100 16
2017-12-31 13F-HR JAGUAR HEALTH INC / (47010C201) 0.15 26,936 4
2017-12-31 13F-HR IAM / I-AM Capital Acquisition Company 9.49 1,370 13
2017-12-31 13F-HR ICLICK INTRACTVE ASIA GRP LT / SPONSORED ADR (45113Y104) 8.43 356 3
2017-12-31 13F-HR 451055AF4 / Iconix Brand Group, Inc. 1.5% Bond due 2018-03-15 10
2017-12-31 13F-HR IES HLDGS INC / (44951W106) 17.35 9,223 160
2017-12-31 13F-HR 452327AF6 / Illumina, Inc. Bond 9
2017-12-31 13F-HR IMMUTEP LTD / SPONSORED ADR (45257L108) 1.66 4,833 8
2017-12-31 13F-HR INDUSTREA ACQUISITION CORP / CL A (45579J104) 10.33 484 5
2017-12-31 13F-HR INDU / Industrea Acquisition Corp. 10.00 600 6
2017-12-31 13F-HR IFRX / InflaRx N.V. 20.50 1,073 22
2017-12-31 13F-HR INFOSONICS CORP / (456784206) 1.55 2,586 4
2017-12-31 13F-HR FFTY / Academy Funds Trust 33.18 301,711 10,011
2017-12-31 13F-HR INSPIREMD INC / *W EXP 03/14/202 (45779A135) 0.00 6,248 0
2017-12-31 13F-HR INTEGER HLDGS CORP / (45826H109) 45.25 3,779 171
2017-12-31 13F-HR INTERNAP CORP / COM PAR (45885A409) 15.79 3,357 53
2017-12-31 13F-HR INVESCO HIGH INCOME 2024 TAR / (46136K105) 10.31 18,140 187
2017-12-31 13F-HR INVESCO TR INVT GRADE NY MUN / (46131T101) 13.72 38,559 529
2017-12-31 13F-HR INVH / Invitation Homes Inc. Call 23.57 8,400 198
2017-12-31 13F-HR IQV / IQVIA Holdings Inc. 97.90 51,859 5,077
2017-12-31 13F-HR PBEE / PowerShares PureBeta FTSE Emerging Markets Portfolio 0.00 15 0
2017-12-31 13F-HR JIANPU TECHNOLOGY INC / ADR (47738D101) 6.48 180,383 1,169
2017-12-31 13F-HR JMU LTD / SPONSORED ADR (46647L105) 0.85 1,182 1
2017-12-31 13F-HR JHME / John Hancock Multifactor Energy ETF 0.00 15 0
2017-12-31 13F-HR JHSC / John Hancock Multifactor Small C 30.00 100 3
2017-12-31 13F-HR JOHN HANCOCK HDG EQ & INC FD / (47804L102) 17.41 91,418 1,592
2017-12-31 13F-HR JP MORGAN EXCHANGE TRADED FD / EVENT DRIVEN (46641Q860) 30.00 100 3
2017-12-31 13F-HR KAZIA THERAPEUTICS LTD / SPONSORED ADR (48669G105) 3.28 3,053 10
2017-12-31 13F-HR KNIGHT SWIFT TRANSN HLDGS IN / CL A (499049104) 43.72 190,756 8,339
2017-12-31 13F-HR KEMQ / KraneShares Emerging Markets Con 0.00 1 0
2017-12-31 13F-HR KGRN / KraneShares MSCI China Environme 25.27 1,029 26
2017-12-31 13F-HR INFR / Legg Mason ETF Investment Trust Legg Mason Global Infrastructure ETF 40.00 25 1
2017-12-31 13F-HR LEVEL BRANDS INC / (52730Q209) 4.48 3,792 17
2017-12-31 13F-HR LEXINFINTECH HLDGS LTD / ADR (528877103) 13.33 675 9
2017-12-31 13F-HR QVCA / Liberty Interactive Corp. Series A QVC Group Call 24.43 40,000 977
2017-12-31 13F-HR LOMA / Loma Negra Compania Industrial 25.00 200 5
2017-12-31 13F-HR LONGFIN CORP / COM CLASS A (54304F106) 58.14 172 10
2017-12-31 13F-HR LOOP INDS INC / (543518104) 14.47 17,000 246
2017-12-31 13F-HR LITE / Lumentum Holdings Inc. Call 50.00 400 20
2017-12-31 13F-HR LITE / Lumentum Holdings Inc. Put 48.93 16,760 820
2017-12-31 13F-HR LUXFER HOLDINGS PLC / SHS (G5698W116) 15.79 52,136 823
2017-12-31 13F-HR MADISON CVRED CALL & EQ STR / (557437100) 7.72 132,683 1,024
2017-12-31 13F-HR MADISON STRTG SECTOR PREM FD / (558268108) 11.68 16,433 192
2017-12-31 13F-HR MARATHON PATENT GROUP INC / COM PAR (56585W302) 4.00 750 3
2017-12-31 13F-HR MARIN SOFTWARE INC / (56804T205) 10.97 15,593 171
2017-12-31 13F-HR MAXR / Maxar Technologies Ltd. 65.01 523 34
2017-12-31 13F-HR 58471AAB1 / Medidata Solutions, Inc. Bond 2
2017-12-31 13F-HR MEET GROUP INC / (58513U101) 2.82 50,283 142
2017-12-31 13F-HR CEMP / Cempra, Inc. 15.58 3,787 59
2017-12-31 13F-HR MERCHANTS BANCORP IND / (58844R108) 17.24 58 1
2017-12-31 13F-HR MERIDIAN BK PAOLI PA / (58958P104) 20.56 681 14
2017-12-31 13F-HR METROPOLITAN BK HLDG CORP / (591774104) 35.71 28 1
2017-12-31 13F-HR MFC BANCORP LTD / USD MFC SHS (G60630103) 7.74 7,618 59
2017-12-31 13F-HR MFS CALIF MUN FD / (59318C106) 11.51 32,490 374
2017-12-31 13F-HR MFS GOVT MKTS INCOME TR / SH BEN INT (552939100) 4.83 17,200 83
2017-12-31 13F-HR MFS HIGH INCOME MUN TR / SH BEN INT (59318D104) 5.24 721,591 3,781
2017-12-31 13F-HR MFS HIGH YIELD MUN TR / SH BEN INT (59318E102) 4.62 615,716 2,844
2017-12-31 13F-HR MFS INTERMEDIATE HIGH INC FD / SH BEN INT (59318T109) 2.92 10,282 30
2017-12-31 13F-HR MFS INVT GRADE MUN TR / SH BEN INT (59318B108) 9.71 39,240 381
2017-12-31 13F-HR MACQU / M I Acquisitions, Inc. 0.34 29,700 10
2017-12-31 13F-HR MDB / MongoDB Inc 29.82 1,375 41
2017-12-31 13F-HR MOSC.U / Mosaic Acquisition Corp. 10.27 2,044 21
2017-12-31 13F-HR MOXC / Moxian, Inc. 3.63 1,378 5
2017-12-31 13F-HR M & T BK CORP / *W EXP 12/23/201 (55261F112) 98.31 295 29
2017-12-31 13F-HR MTGE INVT CORP / (55378A105) 18.50 1,563,027 28,916
2017-12-31 13F-HR MBIO / Mustang Bio, Inc. 11.88 2,609 31
2017-12-31 13F-HR MYND / MYnd Analytics, Inc. 0.00 16 0
2017-12-31 13F-HR NAOV / NanoVibronix, Inc. 4.64 2,156 10
2017-12-31 13F-HR EYE / National Vision Holdings, Inc. 40.63 19,323 785
2017-12-31 13F-HR NAVIOS MARITIME HLDGS INC / SPN ADR RP PFD G (63938Y100) 16.00 500 8
2017-12-31 13F-HR NAVIOS MARITIME HLDGS INC / SPON ADR PFD H (63938Y308) 16.49 1,880 31
2017-12-31 13F-HR NET ELEMENT INC / COM PAR (64111R300) 10.90 2,294 25
2017-12-31 13F-HR NEUBERGER BERMAN CA INT MUN / (64123C101) 13.60 36,398 495
2017-12-31 13F-HR NEUBERGER BERMAN NY INT MUN / (64124K102) 12.17 102,749 1,250
2017-12-31 13F-HR NEW YORK MTG TR INC / PFD-C CONV (649604808) 24.50 58,438 1,432
2017-12-31 13F-HR NXST / Nexstar Broadcasting Group, Inc. Call 78.20 30,000 2,346
2017-12-31 13F-HR NORDIC AMERN OFFSHORE LTD / SHS (G65772108) 1.20 18,307 22
2017-12-31 13F-HR FFTG / FormulaFolios Tactical Growth ETF 50.00 20 1
2017-12-31 13F-HR FFTI / FormulaFolios Tactical Income ETF 25.00 200 5
2017-12-31 13F-HR BIBL / Inspire 100 ETF 25.00 200 5
2017-12-31 13F-HR IBD / Inspire Corporate Bond Impact ET 18.52 54 1
2017-12-31 13F-HR QXTR / QuantX Risk Managed Multi-Asset Total Return ETF 26.67 300 8
2017-12-31 13F-HR QXGG / QuantX Risk Managed Growth ETF 28.21 319 9
2017-12-31 13F-HR NORTH EUROPEAN OIL RTY TR / SH BEN INT (659310106) 6.98 21,637 151
2017-12-31 13F-HR NWE / NorthWestern Corp. Call 59.72 10,600 633
2017-12-31 13F-HR NUDM / NuShares ESG International Developed Markets Equity ETF 26.83 1,640 44
2017-12-31 13F-HR NULG / NuShares ESG Large-Cap Growth ETF 27.52 109 3
2017-12-31 13F-HR NUMG / NuShares ESG Mid-Cap Growth ETF 0.00 4 0
2017-12-31 13F-HR NUVEEN ALL CAP ENE MLP OPPO / (67075E108) 8.56 349,169 2,989
2017-12-31 13F-HR NUVEEN ARIZONA QLTY MUN INC / (67061W104) 14.13 80,660 1,140
2017-12-31 13F-HR NUVEEN BUILD AMER BD OPPTNY / (67074Q102) 23.05 87,244 2,011
2017-12-31 13F-HR NUVEEN CALIF MUN VALUE FD / (67062C107) 10.19 301,455 3,072
2017-12-31 13F-HR NUVEEN CA QUALTY MUN INCOME / (67066Y105) 14.31 1,130,855 16,182
2017-12-31 13F-HR NUVEEN CA SELECT TAX FREE PR / SH BEN INT (67063R103) 14.95 16,594 248
2017-12-31 13F-HR NUVEEN CR OPPORTUNITIES 2022 / (67075U102) 9.49 383,400 3,639
2017-12-31 13F-HR NUVEEN DOW 30 DYN OVERWRITE / SHS (67075F105) 18.84 769,820 14,503
2017-12-31 13F-HR NUVEEN EMERGING MKTS DEBT 20 / (67077P101) 9.44 3,600 34
2017-12-31 13F-HR NUVEEN GEORGIA QLTY MUN INC / (67072B107) 12.55 16,016 201
2017-12-31 13F-HR NUVEEN HGH INC DEC18 TRGT TR / (67075P103) 9.91 192,613 1,909
2017-12-31 13F-HR NUVEEN HIGH INCOME 2020 TARG / (67075L102) 9.93 18,122 180
2017-12-31 13F-HR NUVEEN HIGH INCOME DECMBR 20 / (67076E107) 10.02 183,309 1,837
2017-12-31 13F-HR NUVEEN HIGH INCOME NOVEMBER / (67077N106) 9.96 589,914 5,875
2017-12-31 13F-HR NID / Nuveen Intermediate Duration Municipal Term Fund 12.99 1,230,900 15,990
2017-12-31 13F-HR NUVEEN MASSACHUSETS QLT MUN / (67061E104) 14.24 15,733 224
2017-12-31 13F-HR NUVEEN MICHIGAN QLT MUN INC / (670979103) 13.21 9,690 128
2017-12-31 13F-HR NUVEEN MINESOTA QLT MUN INC / SHS (670734102) 14.71 31,196 459
2017-12-31 13F-HR NUVEEN MISSOURI QLT MUN INC / (67060Q108) 14.11 3,472 49
2017-12-31 13F-HR NUVEEN MTG OPPTY TERM FD 2 / (67074R100) 23.77 13,420 319
2017-12-31 13F-HR NUVEEN MUNICIPAL CREDIT INC / COM SH BEN INT (67070X101) 15.24 1,614,453 24,604
2017-12-31 13F-HR NUVEEN NASDAQ 100 DYNAMIC OV / COM SHS (670699107) 24.21 666,201 16,129
2017-12-31 13F-HR NUVEEN NEW JERSEY MUN VALUE / SHS (670702109) 14.10 20,499 289
2017-12-31 13F-HR NUVEEN NEW YORK MUN VALUE FD / (670706100) 14.37 5,220 75
2017-12-31 13F-HR NUVEEN NEW YORK QLT MUN INC / (67066X107) 13.83 208,002 2,877
2017-12-31 13F-HR NUVEEN NORTH CAROLINA QLTY M / (67060P100) 12.92 45,679 590
2017-12-31 13F-HR NUVEEN NY SELECT TAX FREE PR / SH BEN INT (67063V104) 13.67 5,997 82
2017-12-31 13F-HR NUVEEN OHIO QLTY MUN INCOME / (670980101) 14.65 48,130 705
2017-12-31 13F-HR NUVEEN PA MUN VALUE FD / (67074K105) 15.00 3,733 56
2017-12-31 13F-HR NUVEEN PFD & INCOME 2022 TER / (67075T105) 25.13 3,900 98
2017-12-31 13F-HR NUVEEN SELECT MAT MUN FD / SH BEN INT (67061T101) 9.95 35,068 349
2017-12-31 13F-HR NUVEEN SELECT TAX FREE INCM / SH BEN INT (67062F100) 14.63 64,531 944
2017-12-31 13F-HR NUVEEN SELECT TAX FREE INCM / SH BEN INT (67063C106) 13.94 270,187 3,767
2017-12-31 13F-HR NUVEEN SELECT TAX FREE INCM / SH BEN INT (67063X100) 15.19 226,133 3,435
2017-12-31 13F-HR NUVEEN TEXAS QLTY MUN INCME / (670983105) 14.34 13,111 188
2017-12-31 13F-HR NUVEEN TX ADV TOTAL RET STRG / (67090H102) 13.95 714,233 9,964
2017-12-31 13F-HR NUVERRA ENVIRONMENTAL SOLUTI / COM PAR (67091K302) 18.01 1,055 19
2017-12-31 13F-HR FSC / Fifth Street Finance Corp. 4.89 1,155,035 5,648
2017-12-31 13F-HR BROOKFIELD REAL ASSETS INCOM / SHS BEN INT (112830104) 23.37 1,284,669 30,023
2017-12-31 13F-HR FAT / FAT Brands Inc. 9.02 2,107 19
2017-12-31 13F-HR FC GLOBAL RLTY INC / (30258F102) 0.00 10 0
2017-12-31 13F-HR FMN / Federated Premier Municipal Income Fund 14.04 9,973 140
2017-12-31 13F-HR FG / FGL Holdings 10.00 500 5
2017-12-31 13F-HR JHMI / John Hancock Multifactor Industrials ETF 2,334 0 -100.00 76 0 -100.00
2017-12-31 13F-HR CXO / Concho Resources, Inc. Call 150.24 93,000 20,500 -77.96 12,250 3,080 -74.86
2017-12-31 13F-HR CXO / Concho Resources, Inc. Put 150.22 30,000 55,000 83.33 3,952 8,262 109.06
2017-12-31 13F-HR JHMH / John Hancock Multifactor Healthcare ETF 2,240 0 -100.00 68 0 -100.00
2017-12-31 13F-HR ABT / Abbott Laboratories Put 2,500 0 -100.00 133 0 -100.00
2017-12-31 13F-HR OSIS / OSI Systems, Inc. 63.99 1,395 2,594 85.95 127 166 30.71
2017-12-31 13F-HR ARDX / Ardelyx, Inc. 6.60 11,912 10,600 -11.01 67 70 4.48
2017-12-31 13F-HR CCE / Coca-Cola European Partners Plc. 39.85 213,629 422,830 97.93 8,891 16,849 89.51
2017-12-31 13F-HR ABEOW / Abeona Therapeutics Inc. Warrants 100 0 -100.00 1 0 -100.00
2017-12-31 13F-HR FLRT / Pacific Asset Enhanced Floating Rate ETF 19 0 -100.00 1 0 -100.00
2017-12-31 13F-HR NFBK / Northfield Bancorp, Inc. 17.05 12,126 11,792 -2.75 210 201 -4.29
2017-12-31 13F-HR AKAM / Akamai Technologies, Inc. 65.04 842,375 856,485 1.68 41,040 55,706 35.74
2017-12-31 13F-HR AKAM / Akamai Technologies, Inc. Put 65.04 85,000 85,000 0.00 4,141 5,528 33.49
2017-12-31 13F-HR CRM / Salesforce.com, Inc. 102.23 2,057,020 2,543,390 23.64 192,167 260,010 35.30
2017-12-31 13F-HR CRM / Salesforce.com, Inc. Call 102.23 389,900 125,600 -67.79 36,424 12,840 -64.75
2017-12-31 13F-HR VRNG / Vringo, Inc. 0.00 1,988 200 -89.94 2 0 -100.00
2017-12-31 13F-HR CRM / Salesforce.com, Inc. Put 102.23 38,100 146,200 283.73 3,560 14,946 319.83
2017-12-31 13F-HR MNP / Western Asset Municipal Partners Fund, Inc. 15.22 14,845 23,722 59.80 230 361 56.96
2017-12-31 13F-HR AGRX / Agile Therapeutics, Inc. 1,000 0 -100.00 4 0 -100.00
2017-12-31 13F-HR AXU / Alexco Resource Corp. 879 0 -100.00 1 0 -100.00
2017-12-31 13F-HR MANT / ManTech International Corp. 50.20 89,268 90,346 1.21 3,941 4,535 15.07
2017-12-31 13F-HR QVAL / ValueShares U.S. Quantitative Value ETF 2,210 0 -100.00 60 0 -100.00
2017-12-31 13F-HR MRO / Marathon Oil Corp. 16.93 1,025,360 1,416,722 38.17 13,904 23,985 72.50
2017-12-31 13F-HR MRO / Marathon Oil Corp. Call 16.93 5,100 196,100 3,745.10 69 3,320 4,711.59
2017-12-31 13F-HR MRO / Marathon Oil Corp. Put 16.93 250,000 250,000 0.00 3,390 4,233 24.87
2017-12-31 13F-HR CREE / Cree, Inc. 37.14 32,840 32,123 -2.18 925 1,193 28.97
2017-12-31 13F-HR HI / Hillenbrand, Inc. 44.70 257,788 229,372 -11.02 10,015 10,253 2.38
2017-12-31 13F-HR IVAL / ValueShares International Quantitative Value ETF 41 0 -100.00 1 0 -100.00
2017-12-31 13F-HR GDXS / ProShares UltraShort Gold Miners 13.87 1,940 1,658 -14.54 29 23 -20.69
2017-12-31 13F-HR GME / GameStop Corp. Call 17.95 18,500 18,500 0.00 382 332 -13.09
2017-12-31 13F-HR DVN / Devon Energy Corp. 41.40 420,848 464,137 10.29 15,449 19,215 24.38
2017-12-31 13F-HR DVN / Devon Energy Corp. Call 41.40 340,400 392,500 15.31 12,496 16,250 30.04
2017-12-31 13F-HR DVN / Devon Energy Corp. Put 41.40 30,000 30,000 0.00 1,101 1,242 12.81
2017-12-31 13F-HR AAP / Advance Auto Parts, Inc. 99.69 637,978 329,947 -48.28 63,287 32,893 -48.03
2017-12-31 13F-HR AAP / Advance Auto Parts, Inc. Call 99.69 0 64,500 0 6,430
2017-12-31 13F-HR RESI / Altisource Residential Corp Call 64,000 0 -100.00 711 0 -100.00
2017-12-31 13F-HR AAP / Advance Auto Parts, Inc. Put 99.67 27,500 6,000 -78.18 2,728 598 -78.08
2017-12-31 13F-HR OCSI / Oaktree Strategic Income Corporation 8.40 719,255 6,041
2017-12-31 13F-HR 680223AH7 / Old Republic International Corp. 3.75% Bond Due 3/15/2018 8
2017-12-31 13F-HR OMF / OneMain Holdings, Inc. Put 25.99 135,000 3,509
2017-12-31 13F-HR OPTN / OptiNose, Inc. 18.84 2,548 48
2017-12-31 13F-HR OA / Orbital ATK, Inc. Put 131.43 1,400 184
2017-12-31 13F-HR KIDS / OrthoPediatrics Corp. 20.83 288 6
2017-12-31 13F-HR PZZA / Papa John's International, Inc. Call 56.09 16,900 948
2017-12-31 13F-HR WRLS / Pensare Acquisition Corp. 10.00 1,300 13
2017-12-31 13F-HR PPIH / Perma-Pipe International Holdings, Inc. 9.03 10,083 91
2017-12-31 13F-HR PIMCO CALIF MUN INCOME FD II / (72200M108) 10.12 9,682 98
2017-12-31 13F-HR PZC / PIMCO California Municipal Income Fund III 10.44 36,200 378
2017-12-31 13F-HR PIMCO CA MUNICIPAL INCOME FD / (72200N106) 17.26 33,365 576
2017-12-31 13F-HR MFEM / PIMCO RAFI Dynamic Multi-Factor 26.40 1,212 32
2017-12-31 13F-HR PIMCO GLOBAL STOCKSPLS INCM / (722011103) 15.41 6,619 102
2017-12-31 13F-HR PIONEER MUN HIGH INCOME TR / COM SHS (723763108) 11.85 171,794 2,035
2017-12-31 13F-HR DBC / PowerShares DB Commodity Index Tracking Fund Put 16.50 2,000 33
2017-12-31 13F-HR VIXY / ProShares VIX Short-Term Futures 23.01 3,042 70
2017-12-31 13F-HR QTRX / Quanterix Corporation 21.33 1,172 25
2017-12-31 13F-HR QD / Qudian Inc. 12.50 1,200 15
2017-12-31 13F-HR RAMCO-GERSHENSON PPTYS TR / PERP PFD-D CV (751452608) 57.69 832 48
2017-12-31 13F-HR RDFN / Redfin Corp Put 31.32 70,400 2,205
2017-12-31 13F-HR RGC / Regal Entertainment Group Put 23.00 5,000 115
2017-12-31 13F-HR RGC / Regal Entertainment Group Call 23.02 50,000 1,151
2017-12-31 13F-HR REGALWOOD GLOBAL ENERGY LTD / UNIT 99/99/9999 (G74760110) 10.05 597 6
2017-12-31 13F-HR RHE / Regional Health Properties, Inc. 0.16 42,491 7
2017-12-31 13F-HR RGA / Reinsurance Group of America, Inc. Call 155.95 26,400 4,117
2017-12-31 13F-HR REMARK HLDGS INC / (75955K102) 9.71 6,074 59
2017-12-31 13F-HR QSR / Restaurant Brands International Inc. Call 61.47 23,100 1,420
2017-12-31 13F-HR HAIR / Restoration Robotics, Inc. 4.65 1,076 5
2017-12-31 13F-HR RYTM / Rhythm Pharmaceuticals, Inc. 29.03 8,852 257
2017-12-31 13F-HR RBBN / Ribbon Communications Inc. 7.72 53,735 415
2017-12-31 13F-HR RIMINI STR INC DEL / (76674Q107) 8.03 872 7
2017-12-31 13F-HR RIOT / Riot Blockchain Inc 28.44 5,977 170
2017-12-31 13F-HR REDU / RISE Education Cayman Ltd 14.52 620 9
2017-12-31 13F-HR RLJ LODGING TR / CUM CONV PFD A (74965L200) 27.00 8,666 234
2017-12-31 13F-HR RMG NETWORKS HLDG CORP / (74966K300) 0.59 1,706 1
2017-12-31 13F-HR ROCKY MTN CHOCOLATE FACTORY / (77467X101) 11.94 2,679 32
2017-12-31 13F-HR ROSEHILL RES INC / UNIT 12/31/2020 (777385204) 7.89 634 5
2017-12-31 13F-HR SBRAP / Sabra Healthcare REIT, Inc. Call 18.80 15,000 282
2017-12-31 13F-HR SAILPOINT TECHNLGIES HLDGS I / (78781P105) 14.50 2,000 29
2017-12-31 13F-HR SALIENT MIDSTREAM & MLP FD / SH BEN INT (79471V105) 11.02 278,454 3,068
2017-12-31 13F-HR SANDRIDGE MISSISSIPPIAN TR I / SH BEN INT (80007V106) 0.00 335 0
2017-12-31 13F-HR SCPH / scPharmaceuticals Inc. 11.73 1,108 13
2017-12-31 13F-HR SEA LTD / ADR (81141R100) 13.58 1,178 16
2017-12-31 13F-HR SEND / SendGrid, Inc. 24.19 3,266 79
2017-12-31 13F-HR SENTINEL ENERGY SVCS INC / UNIT 11/02/2022 (G8062D128) 10.10 1,188 12
2017-12-31 13F-HR DBEXF / Sierra Metals, Inc. 3.14 636 2
2017-12-31 13F-HR SLAB / Silicon Laboratories, Inc. Call 88.28 11,600 1,024
2017-12-31 13F-HR GENY / PRINCIPAL EXCHANGE-TRADED FDS 33.18 211 7
2017-12-31 13F-HR PREF / Principal Spectrum Preferred Securities Active ETF 94.34 53 5
2017-12-31 13F-HR PSC / Principal Exchange-Traded Funds Principal U.S. Small Cap Index ETF 33.33 180 6
2017-12-31 13F-HR CLIX / ProShares Long Online/Short Stor 39.34 1,881 74
2017-12-31 13F-HR SDOW / ProShares UltraPro Short Dow30 19.51 11,123 217
2017-12-31 13F-HR SWEDISH EXPT CR CORP / ELEMENT USETN22 (870297504) 20.00 400 8
2017-12-31 13F-HR SWEDISH EXPT CR CORP / MLCX BIO ETN23 (870297199) 6.84 1,315 9
2017-12-31 13F-HR SWEDISH EXPT CR CORP / MLCX GRN ETN23 (870297215) 3.08 974 3
2017-12-31 13F-HR SWEDISH EXPT CR CORP / RG ENRGY ETN22 (870297306) 2.75 11,268 31
2017-12-31 13F-HR SWEDISH EXPT CR CORP / RG METAL ETN22 (870297405) 8.97 6,240 56
2017-12-31 13F-HR SWEDISH EXPT CR CORP / ROG AGRI ETN22 (870297603) 5.97 13,725 82
2017-12-31 13F-HR SWEDISH EXPT CR CORP / ROG TTL ETN 22 (870297801) 5.40 63,315 342
2017-12-31 13F-HR SWCH / Switch Inc 18.21 8,953 163
2017-12-31 13F-HR SYNTHESIS ENERGY SYS INC / (871628202) 2.82 3,192 9
2017-12-31 13F-HR SYRS / Syros Pharmaceuticals, Inc. Put 9.58 2,400 23
2017-12-31 13F-HR TANDEM DIABETES CARE INC / (875372203) 2.35 38,225 90
2017-12-31 13F-HR COH / Coach, Inc. Put 44.23 150,300 6,648
2017-12-31 13F-HR COH / Coach, Inc. 44.23 794,267 35,131
2017-12-31 13F-HR TDH HLDGS INC / SHS (G87084102) 5.61 4,816 27
2017-12-31 13F-HR TRMR / Tremor Video, Inc. 3.26 613 2
2017-12-31 13F-HR THE CENTRAL AND EASTERN EU I / (153436100) 24.23 2,889 70
2017-12-31 13F-HR TIDEWATER INC NEW / *W EXP 07/31/202 (88642R117) 2.38 41,145 98
2017-12-31 13F-HR TIDEWATER INC NEW / *W EXP 07/31/202 (88642R125) 2.08 32,167 67
2017-12-31 13F-HR HWAY / Healthways, Inc. Call 36.58 12,000 439
2017-12-31 13F-HR TPG PACE ENERGY HLDGS CORP / CL A (872656103) 10.00 600 6
2017-12-31 13F-HR TROX / Tronox Ltd Call 20.52 50,000 1,026
2017-12-31 13F-HR TOUR / Tuniu Corporation Call 7.67 4,300 33
2017-12-31 13F-HR DALT / Dalton Industries Inc. 10.14 1,480 15
2017-12-31 13F-HR TYME / Tyme Technologies, Inc. 6.39 13,614 87
2017-12-31 13F-HR UBS AG LONDON BRH / 2XLEVE ETRACS WF (90274D424) 16.61 1,505 25
2017-12-31 13F-HR BDCZ / ETRACS Wells Fargo Business Development Company Index ETN Series B due April 26, 2041 20.00 200 4
2017-12-31 13F-HR UBS AG LONDON BRH / FI ENHANCD ETN (90274D218) 174.70 166 29
2017-12-31 13F-HR UBS AG LONDON BRH / VELCTY 1X ETN 47 (90274E828) 12.05 83 1
2017-12-31 13F-HR UBS AG LONDON BRH / VELOCITYSHS LONG (90274D176) 30.42 3,057 93
2017-12-31 13F-HR UPL / Ultra Petroleum Corp. Call 9.06 1,392,000 12,612
2017-12-31 13F-HR UAA / Under Armour, Inc. Call 13.00 1,000 13
2017-12-31 13F-HR CSAL / Communications Sales & Leasing, Inc. Call 17.80 24,100 429
2017-12-31 13F-HR USCF ETF TR / SUMERHAVEN PVT (90290T601) 25.00 800 20
2017-12-31 13F-HR MOTI / Market Vectors Morningstar International Moat ETF 34.39 1,570 54
2017-12-31 13F-HR VTC / Vanguard Scottsdale Funds Vanguard Total Corporate Bond ETF 90.00 100 9
2017-12-31 13F-HR VBI VACCINES INC / (91822J103) 4.11 1,702 7
2017-12-31 13F-HR VRNA / Verona Pharma plc 0.00 1 0
2017-12-31 13F-HR VSDA / Victory Portfolios II VictoryShares Dividend Accelerator ETF 28.17 1,207 34
2017-12-31 13F-HR VINCE HLDG CORP / (92719W207) 6.03 2,322 14
2017-12-31 13F-HR VESH / Virtus Enhanced Short U.S. Equit 0.00 11 0
2017-12-31 13F-HR VIRTUS GLOBAL DIVID INCOME F / (92835W107) 13.40 33,669 451
2017-12-31 13F-HR SOCIAL CAP HEDOSOPHIA HLDGS / CL A (G8250R103) 8.23 243 2
2017-12-31 13F-HR SOGO / Sogou Inc. 11.90 1,513 18
2017-12-31 13F-HR SOLENO THERAPEUTICS INC / *W EXP 11/12/201 (834203135) 0.19 10,418 2
2017-12-31 13F-HR SPARK NETWORKS SE / SPONSORED ADR (846517100) 11.86 590 7
2017-12-31 13F-HR SPDR SER TR / KENSHO SMART (78468R689) 29.89 100,000 2,989
2017-12-31 13F-HR SPDR SER TR / SPDR BLOOMBERG (78468R663) 91.40 1,055,479 96,471
2017-12-31 13F-HR SPERO THERAPEUTICS INC / (84833T103) 7.81 128 1
2017-12-31 13F-HR SPHERE 3D CORP NEW / (84841L209) 2.30 1,737 4
2017-12-31 13F-HR SPIR / Spire Corp. Call 75.00 3,000 225
2017-12-31 13F-HR 84860WAB8 / Spirit Realty Capital, Inc. Bond 5
2017-12-31 13F-HR STITCH FIX INC / COM CL A (860897107) 25.74 2,564 66
2017-12-31 13F-HR SUCAMPO PHARMACEUTICALS INC / NOTE 3.250%12/1 (864909AB2) 4,250
2017-12-31 13F-HR FXI / iShares China Large-Cap ETF Call 46.17 1,648,500 369,000 -77.62 72,600 17,037 -76.53
2017-12-31 13F-HR MMM / 3M Co. 235.37 2,742,337 2,875,324 4.85 575,616 676,765 17.57
2017-12-31 13F-HR MMM / 3M Co. Call 235.37 12,000 27,000 125.00 2,519 6,355 152.28
2017-12-31 13F-HR MMM / 3M Co. Put 235.37 217,700 386,200 77.40 45,695 90,900 98.93
2017-12-31 13F-HR FXI / iShares China Large-Cap ETF Put 46.17 5,500,000 5,135,000 -6.64 242,220 237,083 -2.12
2017-12-31 13F-HR XLY / SPDR Consumer Discretionary Select Sector ETF 98.69 3,298,070 3,114,811 -5.56 297,090 307,401 3.47
2017-12-31 13F-HR ICLR / ICON plc 112.16 66,503 79,797 19.99 7,573 8,950 18.18
2017-12-31 13F-HR XLY / SPDR Consumer Discretionary Select Sector ETF Call 98.69 360,000 376,100 4.47 32,429 37,117 14.46
2017-12-31 13F-HR MMAC / MMA Capital Management LLC 23.68 380 380 0.00 10 9 -10.00
2017-12-31 13F-HR XLY / SPDR Consumer Discretionary Select Sector ETF Put 98.69 605,700 600,000 -0.94 54,561 59,214 8.53
2017-12-31 13F-HR MNI / McClatchy Co. (THE) 9.03 1,857 1,439 -22.51 13 13 0.00
2017-12-31 13F-HR FXCM / FXCM Inc. 3,061 0 -100.00 5 0 -100.00
2017-12-31 13F-HR NSSC / NAPCO Security Technologies, Inc. 8.82 5,792 2,722 -53.00 56 24 -57.14
2017-12-31 13F-HR WOW / WideOpenWest, Inc. 10.46 3,561 4,495 26.23 54 47 -12.96
2017-12-31 13F-HR LUV / Southwest Airlines Co. 65.45 886,954 1,087,376 22.60 49,653 71,169 43.33
2017-12-31 13F-HR ANDV / Andeavor Corp. Put 114.34 87,900 62,900 -28.44 9,067 7,192 -20.68
2017-12-31 13F-HR LUV / Southwest Airlines Co. Call 65.45 723,100 739,900 2.32 40,479 48,426 19.63
2017-12-31 13F-HR LUV / Southwest Airlines Co. Put 65.45 50,000 51,700 3.40 2,799 3,384 20.90
2017-12-31 13F-HR FCEL / FuelCell Energy, Inc. 1.71 6,271 94,984 1,414.65 11 162 1,372.73
2017-12-31 13F-HR XINA / SPDR MSCI China A Shares IMI ETF 680 0 -100.00 16 0 -100.00
2017-12-31 13F-HR INDA / iShares MSCI India ETF 36.07 1,332,358 1,341,211 0.66 43,768 48,377 10.53
2017-12-31 13F-HR SPYB / SPDR S&P 500 Buyback ETF 736 0 -100.00 43 0 -100.00
2017-12-31 13F-HR CID / Victory Portfolios II 36.07 37 499 1,248.65 1 18 1,700.00
2017-12-31 13F-HR 88163VAE9 / Teva Pharmaceutical Fin Llc Bond 14 18 28.57
2017-12-31 13F-HR TIF / Tiffany & Co. Call 140,000 0 -100.00 12,849 0 -100.00
2017-12-31 13F-HR ONEY / SPDR Russell 1000 Yield Focus ETF 443 0 -100.00 31 0 -100.00
2017-12-31 13F-HR STAF / Staffing 360 Solutions, Inc. 6,693 0 -100.00 6 0 -100.00
2017-12-31 13F-HR CAFD / 8point3 Energy Partners LP 15.22 20,218 20,110 -0.53 304 306 0.66
2017-12-31 13F-HR EEM / iShares MSCI Emerging Markets ETF 47.12 11,424,845 10,631,609 -6.94 511,947 500,961 -2.15
2017-12-31 13F-HR EEM / iShares MSCI Emerging Markets ETF Call 47.12 5,175,400 9,157,700 76.95 231,910 431,511 86.07
2017-12-31 13F-HR EEM / iShares MSCI Emerging Markets ETF Put 47.12 16,847,300 14,483,700 -14.03 754,928 682,472 -9.60
2017-12-31 13F-HR SWK / Stanley Black & Decker, Inc. Put 15,000 0 -100.00 2,265 0 -100.00
2017-12-31 13F-HR STLD / Steel Dynamics, Inc. Call 4,900 0 -100.00 169 0 -100.00
2017-12-31 13F-HR GASS / StealthGas, Inc. 689 0 -100.00 2 0 -100.00
2017-12-31 13F-HR STRT / Strattec Security Corp. 50 0 -100.00 2 0 -100.00
2017-12-31 13F-HR SYK / Stryker Corp. Put 2,000 0 -100.00 284 0 -100.00
2017-12-31 13F-HR CXO / Concho Resources, Inc. 150.21 81,853 55,494 -32.20 10,781 8,336 -22.68
2017-12-31 13F-HR STI.WS.B / SunTrust Banks, Inc. - Warrant 11/14/2018 500 0 -100.00 8 0 -100.00
2017-12-31 13F-HR IPDN / Professional Diversity Network, Inc. 1,235 0 -100.00 5 0 -100.00
2017-12-31 13F-HR SSO / ProShares Ultra S&P500 5,827 0 -100.00 564 0 -100.00
2017-12-31 13F-HR EFO / ProShares Ultra MSCI EAFE 1,014 0 -100.00 126 0 -100.00
2017-12-31 13F-HR SHAK / Shake Shack, Inc. Put 8,400 0 -100.00 279 0 -100.00
2017-12-31 13F-HR FINU / ProShares UltraPro Financials 1,497 0 -100.00 126 0 -100.00
2017-12-31 13F-HR SGBXQ / SG Blocks, Inc. 1,116 0 -100.00 5 0 -100.00
2017-12-31 13F-HR SRRA / Sierra Oncology 5,138 0 -100.00 8 0 -100.00
2017-12-31 13F-HR TTT / ProShares UltraPro Short 20+ Year Treasury 2,527 0 -100.00 67 0 -100.00
2017-12-31 13F-HR SILC / Silicom Limited 13 0 -100.00 1 0 -100.00
2017-12-31 13F-HR SVA / Sinovac Biotech Ltd. 2,048 0 -100.00 14 0 -100.00
2017-12-31 13F-HR SONC / Sonic Corp. Put 179,000 0 -100.00 4,556 0 -100.00
2017-12-31 13F-HR FMCI / Forum Merger Corporation 800 0 -100.00 0 0
2017-12-31 13F-HR RCOM / Elkhorn Fundamental Commodity Strategy ETF 558 0 -100.00 15 0 -100.00
2017-12-31 13F-HR FVAL / Fidelity Value Factor ETF 638 0 -100.00 19 0 -100.00
2017-12-31 13F-HR EET / ProShares Ultra MSCI Emerging Markets 690 0 -100.00 57 0 -100.00
2017-12-31 13F-HR SBB / ProShares Short SmallCap600 1,191 0 -100.00 42 0 -100.00
2017-12-31 13F-HR FTXL / First Trust High Income ETF 1,627 0 -100.00 46 0 -100.00
2017-12-31 13F-HR XSHD / PowerShares S&P SmallCap High Dividend Low Volatility Portfolio 580 0 -100.00 14 0 -100.00
2017-12-31 13F-HR REK / ProShares Short Real Estate 2,410 0 -100.00 39 0 -100.00
2017-12-31 13F-HR UST / ProShares Ultra 7-10 Year Treasury 188 0 -100.00 11 0 -100.00
2017-12-31 13F-HR UCO / ProShares Ultra Bloomberg Crude 3,180 0 -100.00 57 0 -100.00
2017-12-31 13F-HR PHM / PulteGroup, Inc. Put 300 0 -100.00 8 0 -100.00
2017-12-31 13F-HR RARX / Ra Pharmaceuticals, Inc. 393 0 -100.00 6 0 -100.00
2017-12-31 13F-HR RRC / Range Resources Corp. Call 250,000 0 -100.00 4,893 0 -100.00
2017-12-31 13F-HR RAVE / Rave Restaurant Group, Inc. 300 0 -100.00 1 0 -100.00
2017-12-31 13F-HR RTN / Raytheon Co. Call 1,500 0 -100.00 280 0 -100.00
2017-12-31 13F-HR RCON / Recon Technology, Ltd. 5,770 0 -100.00 6 0 -100.00
2017-12-31 13F-HR RRGB / Red Robin Gourmet Burgers, Inc. Call 19,000 0 -100.00 1,273 0 -100.00
2017-12-31 13F-HR RNVA / Rennova Health, Inc. 33,277 0 -100.00 6 0 -100.00
2017-12-31 13F-HR RTK / Rentech, Inc. 1,250 0 -100.00 1 0 -100.00
2017-12-31 13F-HR RNVAZ / Rennova Health, Inc. Warrants 24,561 0 -100.00 0 0
2017-12-31 13F-HR RVEN / Reven Housing REIT, Inc. 749 0 -100.00 4 0 -100.00
2017-12-31 13F-HR ADVM / Adverum Biotechnologies, Inc. 1,788 0 -100.00 6 0 -100.00
2017-12-31 13F-HR ADVISORSHARES TR / GARTMAN GD/YEN (00768Y685) 138,435 0 -100.00 1,606 0
2017-12-31 13F-HR ADVISORSHARES TR / GARTMAN GLD/EU (00768Y669) 161,115 0 -100.00 1,867 0
2017-12-31 13F-HR ABCO / Advisory Board Co. (The) 69,731 0 -100.00 3,740 0 -100.00
2017-12-31 13F-HR AMFW / Amec Foster Wheeler Plc 3,808 0 -100.00 25 0 -100.00
2017-12-31 13F-HR ANGI / Angie's List, Inc. 101,232 0 -100.00 1,261 0 -100.00
2017-12-31 13F-HR ARCX / Arc Logistics Partners LP 8,903 0 -100.00 149 0 -100.00
2017-12-31 13F-HR ARNC.PRB / Arconic Inc., 5.375% Dep Shares Class B Mand Convertible Preferred Stock Series 1 7,145 0 -100.00 278 0 -100.00
2017-12-31 13F-HR AF / Astoria Financial Corp. 310,729 0 -100.00 6,681 0 -100.00
2017-12-31 13F-HR ATW / Atwood Oceanics, Inc. 91,754 0 -100.00 862 0 -100.00
2017-12-31 13F-HR BXS / BancorpSouth, Inc. 27,660 0 -100.00 887 0 -100.00
2017-12-31 13F-HR RATE / Bankrate, Inc. 5,884 0 -100.00 82 0 -100.00
2017-12-31 13F-HR BAA / Banro Corp. 11,863 0 -100.00 4 0 -100.00
2017-12-31 13F-HR JJN / iPath Bloomberg Nickel Subindex Total Return ETN due 10/22/37 3,908 0 -100.00 49 0 -100.00
2017-12-31 13F-HR BCR / Bard (C.R.), Inc. 187,128 0 -100.00 59,975 0 -100.00
2017-12-31 13F-HR BEBE / bebe stores, inc. 13,851 0 -100.00 71 0 -100.00
2017-12-31 13F-HR BDX / Becton Dickinson & Co. Call 16,800 0 -100.00 3,292 0 -100.00
2017-12-31 13F-HR BRCD / Brocade Communications Systems, Inc. 333,489 0 -100.00 3,985 0 -100.00
2017-12-31 13F-HR CACQ / Caesars Acquisition Co. 4,653 0 -100.00 100 0 -100.00
2017-12-31 13F-HR CFNB / California First National Bancorp 167 0 -100.00 3 0 -100.00
2017-12-31 13F-HR CBF / Capital Bank Financial Corp. 6,564 0 -100.00 270 0 -100.00
2017-12-31 13F-HR MLNT / Melinta Therapeutics, Inc. 17,101 0 -100.00 56 0 -100.00
2017-12-31 13F-HR BSCH / Guggenheim BulletShares 2017 Corporate Bond ETF 520,273 0 -100.00 11,766 0 -100.00
2017-12-31 13F-HR BSJH / Guggenheim BulletShares 2017 High Yield Corporate Bond ETF 193,361 0 -100.00 4,973 0 -100.00
2017-12-31 13F-HR CBLI / Cleveland BioLabs, Inc. 364 0 -100.00 1 0 -100.00
2017-12-31 13F-HR CIE / Cobalt International Energy, Inc. 5,071 0 -100.00 7 0 -100.00
2017-12-31 13F-HR TPR / Tapestry, Inc. 705,688 0 -100.00 28,425 0 -100.00
2017-12-31 13F-HR MOC / Command Security Corp. 19,484 0 -100.00 60 0 -100.00
2017-12-31 13F-HR CNXR / Connecture, Inc. 39,596 0 -100.00 26 0 -100.00
2017-12-31 13F-HR CNX / CONSOL Energy, Inc. 5,360,488 0 -100.00 90,807 0 -100.00
2017-12-31 13F-HR PMTS / CPI Card Group Inc. 30,926 0 -100.00 37 0 -100.00
2017-12-31 13F-HR CMLS / Cumulus Media, Inc. 32,797 0 -100.00 11 0 -100.00
2017-12-31 13F-HR DLPH / Delphi Automotive Plc 762,484 0 -100.00 75,029 0 -100.00
2017-12-31 13F-HR CRDC / Cardica, Inc. 48,825 0 -100.00 14 0 -100.00
2017-12-31 13F-HR DGI / DigitalGlobe, Inc. 165,191 0 -100.00 5,823 0 -100.00
2017-12-31 13F-HR DDC / Dominion Diamond Corp. 10,256 0 -100.00 145 0 -100.00
2017-12-31 13F-HR EEI / Ecology and Environment, Inc. 10,230 0 -100.00 120 0 -100.00
2017-12-31 13F-HR ESP / Espey Manufacturing & Electronics Corp. 1,807 0 -100.00 40 0 -100.00
2017-12-31 13F-HR XCO / EXCO Resources, Inc. 19,718 0 -100.00 26 0 -100.00
2017-12-31 13F-HR FNFV / Fidelity National Financial, Inc. 18,518 0 -100.00 317 0 -100.00
2017-12-31 13F-HR FSFR / Fifth Street Senior Floating Rate Corp. 703,699 0 -100.00 6,192 0 -100.00
2017-12-31 13F-HR OCSL / Oaktree Specialty Lending Corporation 1,418,340 0 -100.00 7,758 0 -100.00
2017-12-31 13F-HR FPO / First Potomac Realty Trust 1,201,589 0 -100.00 13,385 0 -100.00
2017-12-31 13F-HR RICE / Rice Energy Inc. 380,594 0 -100.00 11,015 0 -100.00
2017-12-31 13F-HR RT / Ruby Tuesday, Inc. 12,238 0 -100.00 26 0 -100.00
2017-12-31 13F-HR SCLN / SciClone Pharmaceuticals, Inc. 168,059 0 -100.00 1,882 0 -100.00
2017-12-31 13F-HR IPOA.U / Social Capital Hedosophia 2,782 0 -100.00 29 0 -100.00
2017-12-31 13F-HR SONS / Sonus Networks, Inc. 58,501 0 -100.00 447 0 -100.00
2017-12-31 13F-HR BIL / SPDR Series Trust 2,267,642 0 -100.00 103,745 0 -100.00
2017-12-31 13F-HR STARWOOD WAYPOINT HOMES / (85572F105) 51,731 0 -100.00 1,881 0
2017-12-31 13F-HR SNC / State National Companies, Inc. 2,233 0 -100.00 47 0 -100.00
2017-12-31 13F-HR TNDM / Tandem Diabetes Care, Inc. 1,751 0 -100.00 1 0 -100.00
2017-12-31 13F-HR ULBI / Ultralife Corp. 4,311 0 -100.00 29 0 -100.00
2017-12-31 13F-HR DNO / United States Short Oil Fund 3,736 0 -100.00 248 0 -100.00
2017-12-31 13F-HR VALE.P / Vale S.A. Preferred Class A Shares ADR 3,206 0 -100.00 30 0 -100.00
2017-12-31 13F-HR VYGR / Voyager Therapeutics, Inc 771 0 -100.00 16 0 -100.00
2017-12-31 13F-HR VWR / VWR Corporation 241,956 0 -100.00 8,011 0 -100.00
2017-12-31 13F-HR FIG / Fortress Investment Group LLC 9,123,257 0 -100.00 72,713 0 -100.00
2017-12-31 13F-HR GIMO / Gigamon Inc. 10,504 0 -100.00 443 0 -100.00
2017-12-31 13F-HR HNH / Handy & Harman Ltd. 150 0 -100.00 5 0 -100.00
2017-12-31 13F-HR INAP / Internap Corporation 22,450 0 -100.00 98 0 -100.00
2017-12-31 13F-HR KITE / Kite Pharma, Inc. 226,458 0 -100.00 40,720 0 -100.00
2017-12-31 13F-HR KRNT / Kornit Digital Ltd. 1,675 0 -100.00 25 0 -100.00
2017-12-31 13F-HR LDR / Landauer, Inc. 3,265 0 -100.00 219 0 -100.00
2017-12-31 13F-HR LVLT / Level 3 Communications, Inc. 2,614,253 0 -100.00 139,314 0 -100.00
2017-12-31 13F-HR EVAR / Lombard Medical, Inc. 5,276 0 -100.00 2 0 -100.00
2017-12-31 13F-HR LMOS / Lumos Networks Corp. 65,096 0 -100.00 1,167 0 -100.00
2017-12-31 13F-HR LXFR / Luxfer Holdings PLC 46,489 0 -100.00 579 0 -100.00
2017-12-31 13F-HR MXPT / MaxPoint Interactive, Inc. 19,080 0 -100.00 265 0 -100.00
2017-12-31 13F-HR NW.PRC / National Westminster Bank Plc 21,265 0 -100.00 542 0 -100.00
2017-12-31 13F-HR NDRM / NeuroDerm Ltd. 96,452 0 -100.00 3,752 0 -100.00
2017-12-31 13F-HR NVGN / Novogen Ltd. 2,040 0 -100.00 7 0 -100.00
2017-12-31 13F-HR OME / Omega Protein Corp. 17,695 0 -100.00 295 0 -100.00
2017-12-31 13F-HR PCBK / Pacific Continental Corp. 29,982 0 -100.00 808 0 -100.00
2017-12-31 13F-HR PRXL / PAREXEL International Corp. 537,867 0 -100.00 47,375 0 -100.00
2017-12-31 13F-HR PSTB / Park Sterling Corp. 5,839 0 -100.00 72 0 -100.00
2017-12-31 13F-HR PKY / Parkway Properties, Inc. 9,039 0 -100.00 208 0 -100.00
2017-12-31 13F-HR PN / Patriot National, Inc. 42,540 0 -100.00 58 0 -100.00
2017-12-31 13F-HR PCO / Pendrell Corporation 1,508 0 -100.00 11 0 -100.00
2017-12-31 13F-HR PMC / PharMerica Corp. 529,482 0 -100.00 15,514 0 -100.00
2017-12-31 13F-HR FXEU / PowerShares Europe Currency Hedged Low Volatility Portfolio 25,481 0 -100.00 595 0 -100.00
2017-12-31 13F-HR Q / Quintiles Transitional Holdings Inc. 52,997 0 -100.00 5,038 0 -100.00
2017-12-31 13F-HR WSTC / West Corp. 6,941 0 -100.00 163 0 -100.00
2017-12-31 13F-HR WBB / Westbury Bancorp, Inc. 2,286 0 -100.00 46 0 -100.00
2017-12-31 13F-HR WNRL / Western Refining Logistics, LP 1,125,690 0 -100.00 29,043 0 -100.00
2017-12-31 13F-HR WLL / Whiting Petroleum Corp. 927,468 0 -100.00 5,064 0 -100.00
2017-12-31 13F-HR ALR / Alere Inc. 20 0 -100.00 8 0 -100.00
2017-12-31 13F-HR LCA / Landcadia Holdings, Inc. 200 0 -100.00 0 0
2017-12-31 13F-HR APOP / Cellect Biotechnology Ltd. 500 0 -100.00 1 0 -100.00
2017-12-31 13F-HR WEAT / Teucrium Wheat Fund 5,870 0 -100.00 39 0 -100.00
2017-12-31 13F-HR TAGS / Teucrium Agricultural Fund 946 0 -100.00 22 0 -100.00
2017-12-31 13F-HR CSA / Victory Portfolios II 1,218 0 -100.00 54 0 -100.00
2017-12-31 13F-HR HIPS / Master Income ETF 841 0 -100.00 15 0 -100.00
2017-12-31 13F-HR SMCP / ETF Ser Solutions 1,002 0 -100.00 24 0 -100.00
2017-12-31 13F-HR ORG / Janus Detroit Str Tr 1,027 0 -100.00 31 0 -100.00
2017-12-31 13F-HR SGQI / Janus Detroit Street Trust Janus Henderson SG Global Quality Income ETF 89 0 -100.00 3 0 -100.00
2017-12-31 13F-HR CBMX / CombiMatrix Corp. 2,772 0 -100.00 21 0 -100.00
2017-12-31 13F-HR QWLD / SPDR MSCI World Quality Mix ETF 44 0 -100.00 3 0 -100.00
2017-12-31 13F-HR EWU / iShares MSCI United Kingdom ETF Put 15,700 0 -100.00 547 0 -100.00
2017-12-31 13F-HR EWZ / iShares MSCI Brazil Capped ETF Put 40.45 2,812,800 3,112,200 10.64 117,266 125,888 7.35
2017-12-31 13F-HR BYBK / Bay Bancorp, Inc. 12.23 1,713 1,063 -37.95 19 13 -31.58
2017-12-31 13F-HR FMB / First Trust Managed Municipal ETF 53.51 21,227 74,489 250.92 1,130 3,986 252.74
2017-12-31 13F-HR HXL / Hexcel Corp. 61.88 12,966 18,373 41.70 744 1,137 52.82
2017-12-31 13F-HR BBT / BB&T Corp. 49.72 810,949 1,246,526 53.71 38,066 61,977 62.81
2017-12-31 13F-HR BBT / BB&T Corp. Call 49.72 0 188,800 0 9,387
2017-12-31 13F-HR 649604AD7 / New York Mortgage Trust Bond 25 25 0.00
2017-12-31 13F-HR TEVA / Teva Pharmaceutical Industries Ltd. 18.95 1,747,477 1,289,837 -26.19 30,755 24,443 -20.52
2017-12-31 13F-HR TEVA / Teva Pharmaceutical Industries Ltd. Call 18.95 485,300 1,107,800 128.27 8,541 20,993 145.79
2017-12-31 13F-HR TEVA / Teva Pharmaceutical Industries Ltd. Put 18.95 450,500 5,086,500 1,029.08 7,929 96,389 1,115.65
2017-12-31 13F-HR KSM / Deutsche Strategic Municipal Income Trust 12.00 0 2,000 0 24
2017-12-31 13F-HR UAL / United Continental Holdings, Inc. 67.40 366,008 385,530 5.33 22,283 25,984 16.61
2017-12-31 13F-HR UAL / United Continental Holdings, Inc. Call 67.40 299,900 45,000 -84.99 18,258 3,033 -83.39
2017-12-31 13F-HR SXT / Sensient Technologies Corp. 73.15 8,313 14,874 78.92 640 1,088 70.00
2017-12-31 13F-HR CTRV / Contravir Pharmaceuticals Inc 0.33 33,995 12,170 -64.20 18 4 -77.78
2017-12-31 13F-HR MGCD / MGC Diagnostics Corp. 11.17 0 2,418 0 27
2017-12-31 13F-HR AZO / AutoZone, Inc. 711.37 6,562 34,407 424.34 3,906 24,476 526.63
2017-12-31 13F-HR AZO / AutoZone, Inc. Call 711.37 36,900 49,800 34.96 21,960 35,426 61.32
2017-12-31 13F-HR AZO / AutoZone, Inc. Put 711.36 20,500 37,500 82.93 12,200 26,676 118.66
2017-12-31 13F-HR EHTH / eHealth, Inc. 17.36 6,397 4,206 -34.25 152 73 -51.97
2017-12-31 13F-HR AET / Aetna, Inc. 180.39 524,380 854,006 62.86 83,382 154,055 84.76
2017-12-31 13F-HR AET / Aetna, Inc. Call 180.40 22,500 40,000 77.78 3,578 7,216 101.68
2017-12-31 13F-HR AET / Aetna, Inc. Put 180.38 12,000 42,000 250.00 1,908 7,576 297.06
2017-12-31 13F-HR OXM / Oxford Industries, Inc. 75.19 35,272 12,315 -65.09 2,242 926 -58.70
2017-12-31 13F-HR CVE / Cenovus Energy Inc. 9.13 328,248 225,899 -31.18 3,289 2,062 -37.31
2017-12-31 13F-HR JO / iPath Bloomberg Coffee Subindex Total Return ETN due 6/24/2038 15.70 16,162 36,762 127.46 269 577 114.50
2017-12-31 13F-HR MBFI / MB Financial, Inc. 44.57 8,817 14,316 62.37 397 638 60.71
2017-12-31 13F-HR IBMJ / iShares Trust iShares iBonds Dec 2021 AMT-Free Muni Bond ETF 25.42 382,551 359,033 -6.15 9,904 9,127 -7.85
2017-12-31 13F-HR RXII / RXI Pharmaceuticals Corporation 0.59 0 15,341 0 9
2017-12-31 13F-HR ILTB / iShares Core Long-Term US Bond ETF 64.77 25,154 25,875 2.87 1,606 1,676 4.36
2017-12-31 13F-HR TSBK / Timberland Bancorp, Inc. 27.22 206 698 238.83 6 19 216.67
2017-12-31 13F-HR SILJ / PureFunds ISE Junior Silver (Small Cap Miners/Explorers) ETF 11.45 2,009 2,358 17.37 24 27 12.50
2017-12-31 13F-HR VNQ / Vanguard REIT ETF 82.98 2,919,626 2,692,941 -7.76 242,592 223,461 -7.89
2017-12-31 13F-HR VNQ / Vanguard REIT ETF Call 82.98 0 100,000 0 8,298
2017-12-31 13F-HR SPHS / Sophiris Bio, Inc. 2.36 5,512 5,512 0.00 12 13 8.33
2017-12-31 13F-HR PTNQ / Pacer Trendpilot 100 ETF 30.25 56,218 80,502 43.20 1,589 2,435 53.24
2017-12-31 13F-HR DGSE / DGSE Companies, Inc. 0.00 9,793 372 -96.20 13 0 -100.00
2017-12-31 13F-HR CPG / Crescent Point Energy Corp. 7.62 252,738 282,966 11.96 2,034 2,156 6.00
2017-12-31 13F-HR CPRT / Copart, Inc. 43.19 453,728 497,044 9.55 15,595 21,467 37.65
2017-12-31 13F-HR SMIN / iShares MSCI India Small-Cap ETF 52.56 16,957 19,845 17.03 775 1,043 34.58
2017-12-31 13F-HR WDAY / Workday, Inc. 101.73 142,057 92,604 -34.81 14,972 9,421 -37.08
2017-12-31 13F-HR WDAY / Workday, Inc. Put 101.79 9,500 9,500 0.00 1,001 967 -3.40
2017-12-31 13F-HR 697435AB1 / Palo Alto Networks, Inc. Bond 21,917 21,768 -0.68
2017-12-31 13F-HR EL / Estee Lauder Companies, Inc. (THE) 127.24 448,049 480,053 7.14 48,317 61,083 26.42
2017-12-31 13F-HR EL / Estee Lauder Companies, Inc. (THE) Call 127.26 0 12,683 0 1,614
2017-12-31 13F-HR EL / Estee Lauder Companies, Inc. (THE) Put 127.14 40,000 2,100 -94.75 4,314 267 -93.81
2017-12-31 13F-HR MU / Micron Technology, Inc. 41.12 3,366,182 3,262,286 -3.09 132,392 134,145 1.32
2017-12-31 13F-HR MU / Micron Technology, Inc. Call 41.12 1,895,600 3,058,400 61.34 74,554 125,761 68.68
2017-12-31 13F-HR MU / Micron Technology, Inc. Put 41.12 3,429,600 3,298,900 -3.81 134,886 135,650 0.57
2017-12-31 13F-HR OXLCO / Oxford Lane Capital Corp. 10.03 16,307 15,657 -3.99 166 157 -5.42
2017-12-31 13F-HR FLXS / Flexsteel Industries, Inc. 46.66 432 4,051 837.73 22 189 759.09
2017-12-31 13F-HR DNBF / DNB Financial Corp. 33.33 103 150 45.63 4 5 25.00
2017-12-31 13F-HR IDSY / I.D. Systems, Inc. 8.15 0 368 0 3
2017-12-31 13F-HR USNA / USANA Health Sciences, Inc. 74.05 143,284 140,270 -2.10 8,267 10,387 25.64
2017-12-31 13F-HR LTXB / LegacyTexas Financial Group Inc. 42.12 4,701 4,748 1.00 187 200 6.95
2017-12-31 13F-HR IUSB / iShares Core Total USD Bond Market ETF 50.87 102,012 150,392 47.43 5,210 7,650 46.83
2017-12-31 13F-HR CRWS / Crown Crafts, Inc. 6.48 2,493 6,332 153.99 16 41 156.25
2017-12-31 13F-HR LII / Lennox International, Inc. 208.26 190,909 175,224 -8.22 34,167 36,492 6.80
2017-12-31 13F-HR ACIU / AC Immune SA 16.13 0 62 0 1
2017-12-31 13F-HR UVE / Universal Insurance Holdings, Inc. 27.36 22,941 14,657 -36.11 528 401 -24.05
2017-12-31 13F-HR XSW / SPDR S&P Software & Services ETF 69.42 23,983 19,993 -16.64 1,576 1,388 -11.93
2017-12-31 13F-HR VIVO / Meridian Bioscience, Inc. 14.01 16,625 12,132 -27.03 238 170 -28.57
2017-12-31 13F-HR PNBK / Patriot National Bancorp, Inc. 17.82 1,905 1,964 3.10 31 35 12.90
2017-12-31 13F-HR HCN.PRI / Welltower Inc. 6.50% Series I Cumul Convertible Perpetual Preferred Stock 59.16 663 693 4.52 42 41 -2.38
2017-12-31 13F-HR SEDG / SolarEdge Technologies, Inc. 37.55 58,839 26,309 -55.29 1,680 988 -41.19
2017-12-31 13F-HR LXP / Lexington Corporate Properties Trust 9.65 239,349 246,915 3.16 2,446 2,383 -2.58
2017-12-31 13F-HR ALD / WisdomTree Asia Local Debt Fund 49.18 0 122 0 6
2017-12-31 13F-HR 01741RAG7 / Allegheny Technologies, Inc. Bond 14,574 4,625 -68.27
2017-12-31 13F-HR AMT / American Tower Corp. (REIT) 142.67 3,704,320 3,886,873 4.93 506,307 554,540 9.53
2017-12-31 13F-HR AMT / American Tower Corp. (REIT) Call 142.68 0 11,200 0 1,598
2017-12-31 13F-HR AMT / American Tower Corp. (REIT) Put 142.69 20,400 10,400 -49.02 2,789 1,484 -46.79
2017-12-31 13F-HR SUNW / Sunworks, Inc. 1.02 0 3,911 0 4
2017-12-31 13F-HR GM.WS.B / General Motors Company - Warrants 07/10/2019 23.37 28,742 20,582 -28.39 644 481 -25.31
2017-12-31 13F-HR FCSC / Fibrocell Science Inc. 0.62 34 22,633 66,467.65 0 14
2017-12-31 13F-HR WF / Woori Bank 44.79 1,825 3,952 116.55 85 177 108.24
2017-12-31 13F-HR SGG / iPath Bloomberg Sugar Subindex Total Return ETN due on 6/24/38 40.00 2,750 25 -99.09 79 1 -98.73
2017-12-31 13F-HR RWM / ProShares Short Russell2000 42.37 78,704 5,098 -93.52 3,439 216 -93.72
2017-12-31 13F-HR IQI / Invesco Quality Municipal Income Trust 12.51 199,402 199,296 -0.05 2,552 2,493 -2.31
2017-12-31 13F-HR ASPS / Altisource Portfolio Solutions S.A. Call 25,000 0 -100.00 647 0 -100.00
2017-12-31 13F-HR AMED / Amedisys, Inc. Call 21,700 0 -100.00 1,214 0 -100.00
2017-12-31 13F-HR AMS / American Shared Hospital Services 244 0 -100.00 1 0 -100.00
2017-12-31 13F-HR AWK / American Water Works Co., Inc. Put 2,000 0 -100.00 162 0 -100.00
2017-12-31 13F-HR FOLD / Amicus Therapeutics, Inc. Put 5,000 0 -100.00 75 0 -100.00
2017-12-31 13F-HR ANGI / Angie's List, Inc. Put 100,000 0 -100.00 1,246 0 -100.00
2017-12-31 13F-HR APWC / Asia Pacific Wire & Cable Corporation Ltd. 724 0 -100.00 2 0 -100.00
2017-12-31 13F-HR ASTC / Astrotech Corp. 2,824 0 -100.00 3 0 -100.00
2017-12-31 13F-HR AAPC / Atlantic Alliance Partnership Corp. 110 0 -100.00 1 0 -100.00
2017-12-31 13F-HR AVP / Avon Products, Inc. Call 4,300 0 -100.00 10 0 -100.00
2017-12-31 13F-HR AXARU / Axar Acquisition Corp. Units 1,700 0 -100.00 17 0 -100.00
2017-12-31 13F-HR BSAC / Banco Santander - Chile Call 300 0 -100.00 9 0 -100.00
2017-12-31 13F-HR BARCLAYS BK PLC / IPATH EMERG ETN (06740P874) 318 0 -100.00 21 0
2017-12-31 13F-HR BARCLAYS BK PLC / RUSS1000 3X LG (06740P205) 100 0 -100.00 19 0
2017-12-31 13F-HR FOIL / iPath Pure Beta Aluminum ETN 40 0 -100.00 1 0 -100.00
2017-12-31 13F-HR BAS / Basis Energy Services, Inc. Put 57,300 0 -100.00 1,106 0 -100.00
2017-12-31 13F-HR BB / Blackberry Limited Put 460,000 0 -100.00 5,143 0 -100.00
2017-12-31 13F-HR BONT / Bon-Ton Stores, Inc. (THE) 3,000 0 -100.00 1 0 -100.00
2017-12-31 13F-HR SAM / Boston Beer Company, Inc. (THE) Put 15,800 0 -100.00 2,468 0 -100.00
2017-12-31 13F-HR CDNS / Cadence Design Systems, Inc. Call 6,300 0 -100.00 249 0 -100.00
2017-12-31 13F-HR CAH / Cardinal Health, Inc. Call 7,500 0 -100.00 502 0 -100.00
2017-12-31 13F-HR CRUS / Cirrus Logic, Inc. Put 2,000 0 -100.00 107 0 -100.00
2017-12-31 13F-HR CZFC / Citizens First Corp. 1,157 0 -100.00 28 0 -100.00
2017-12-31 13F-HR DJD / Guggenheim Dow Jones Industrial Average Dividend ETF 215 0 -100.00 7 0 -100.00
2017-12-31 13F-HR CME / CME Group, Inc. Call 5,200 0 -100.00 706 0 -100.00
2017-12-31 13F-HR CFX / Colfax Corp. Call 136,500 0 -100.00 5,684 0 -100.00
2017-12-31 13F-HR LODE / Comstock Mining, Inc. 200 0 -100.00 0 0
2017-12-31 13F-HR CREDIT SUISSE AG NASSAU BRH / VEL SH 3X LG NAT (22539T324) 226 0 -100.00 3 0
2017-12-31 13F-HR XIV / VelocityShares Daily Inverse VIX Short Term ETN S&P 500 VIX STF Index 12/4/2030 3,062 0 -100.00 299 0 -100.00
2017-12-31 13F-HR CREDIT SUISSE NASSAU BRH / VELOCITY SHS MED (22542D340) 1,317 0 -100.00 17 0
2017-12-31 13F-HR AFTY / CSOP FTSE China A50 ETF/United States 99 0 -100.00 2 0 -100.00
2017-12-31 13F-HR SDPI / Superior Drilling Products, Inc. 8,848 0 -100.00 7 0 -100.00
2017-12-31 13F-HR TLRD / Tailored Brands, Inc. Call 75,200 0 -100.00 1,086 0 -100.00
2017-12-31 13F-HR TAHO / Tahoe Resources Inc. Put 17,000 0 -100.00 90 0 -100.00
2017-12-31 13F-HR TEAR / TearLab Corp 200 0 -100.00 0 0
2017-12-31 13F-HR CUNB / CU Bancorp 739 0 -100.00 29 0 -100.00
2017-12-31 13F-HR CYAN / Cyanotech Corp. 2,478 0 -100.00 10 0 -100.00
2017-12-31 13F-HR DRI / Darden Restaurants, Inc. Put 35,600 0 -100.00 2,805 0 -100.00
2017-12-31 13F-HR RVNU / db X-Trackers Municipal Infrastructure Revenue Bond Fund 2,572 0 -100.00 69 0 -100.00
2017-12-31 13F-HR DVMT / Dell Technologies Inc. Call 52,000 0 -100.00 4,015 0 -100.00
2017-12-31 13F-HR DVMT / Dell Technologies Inc. Put 52,000 0 -100.00 4,015 0 -100.00
2017-12-31 13F-HR DLX / Deluxe Corp. Put 3,900 0 -100.00 285 0 -100.00
2017-12-31 13F-HR DXLG / Destination XL Group, Inc. 1,949 0 -100.00 4 0 -100.00
2017-12-31 13F-HR DSGX / Descartes Systems Group, Inc. (THE) 1,597 0 -100.00 44 0 -100.00
2017-12-31 13F-HR DSWL / Deswell Industries, Inc. 4,548 0 -100.00 12 0 -100.00
2017-12-31 13F-HR DDP / DB Commodity Short ETN due 4/1/2038 9 0 -100.00 0 0
2017-12-31 13F-HR DPW / Digital Power Corp. 6,521 0 -100.00 4 0 -100.00
2017-12-31 13F-HR RUSL / Direxion Daily Russia Bull 3x Shares 1,782 0 -100.00 94 0 -100.00
2017-12-31 13F-HR TAYD / Taylor Devices, Inc. 382 0 -100.00 5 0 -100.00
2017-12-31 13F-HR TGP / Teekay LNG Partners L.P. Put 40,000 0 -100.00 712 0 -100.00
2017-12-31 13F-HR TGLS / Tecnoglass Inc. 674 0 -100.00 5 0 -100.00
2017-12-31 13F-HR THC / Tenet Healthcare Corp. Put 63,000 0 -100.00 1,035 0 -100.00
2017-12-31 13F-HR GLBL / TerraForm Global, Inc. 22,505 0 -100.00 107 0 -100.00
2017-12-31 13F-HR TESO / Tesco Corp. (USA) 5,141 0 -100.00 28 0 -100.00
2017-12-31 13F-HR DFS / Discover Financial Services Put 500 0 -100.00 32 0 -100.00
2017-12-31 13F-HR EAGLU / Double Eagle Acquisition Corp. 900 0 -100.00 9 0 -100.00
2017-12-31 13F-HR TTD / Trade Desk, Inc. Call 50,000 0 -100.00 3,076 0 -100.00
2017-12-31 13F-HR THO / Thor Industries, Inc. Put 33,900 0 -100.00 4,268 0 -100.00
2017-12-31 13F-HR NCTY / The9 Ltd. 12,014 0 -100.00 12 0 -100.00
2017-12-31 13F-HR ECL / Ecolab, Inc. Put 2,600 0 -100.00 334 0 -100.00
2017-12-31 13F-HR ERJ / Embraer S.A. Call 600 0 -100.00 14 0 -100.00
2017-12-31 13F-HR ENRJ / Enerjex Resources, Inc. 17,565 0 -100.00 5 0 -100.00
2017-12-31 13F-HR LARE / Tierra XP Latin America Real Estate ETF 446 0 -100.00 14 0 -100.00
2017-12-31 13F-HR TGA / TransGlobe Energy Corporation 9,540 0 -100.00 14 0 -100.00
2017-12-31 13F-HR TRIL / Trillium Therapeutics Inc. 1,230 0 -100.00 6 0 -100.00
2017-12-31 13F-HR ESQ / Esquire Financial Holdings, Inc. 37 0 -100.00 1 0 -100.00
2017-12-31 13F-HR BCD / ETFS Bloomberg All Commodity Longer Dated Strategy K-1 Free ETF 45 0 -100.00 1 0 -100.00
2017-12-31 13F-HR ETSY / Etsy, Inc. Put 50,000 0 -100.00 844 0 -100.00
2017-12-31 13F-HR BCI / ETFS Bloomberg All Commodity Strategy K-1 Free ETF 2,057 0 -100.00 51 0 -100.00
2017-12-31 13F-HR EXA / Exa Corp 545 0 -100.00 13 0 -100.00
2017-12-31 13F-HR VMIN / REX VolMAXX Short Weekly Futures Strategy ETF 1,918 0 -100.00 64 0 -100.00
2017-12-31 13F-HR GHS / REX Gold Hedged S&P 500 ETF 80 0 -100.00 3 0 -100.00
2017-12-31 13F-HR FEDERATED PREM INTR MUN INC / (31423M105) 5,033 0 -100.00 69 0
2017-12-31 13F-HR FLTB / Fidelity Limited Term Bond ETF 534 0 -100.00 27 0 -100.00
2017-12-31 13F-HR FNJN / Finjan Holdings, Inc. 1,354 0 -100.00 3 0 -100.00
2017-12-31 13F-HR FSAM / Fifth Street Asset Management Inc. 2,215 0 -100.00 9 0 -100.00
2017-12-31 13F-HR FNSR / Finisar Corporation Call 95,000 0 -100.00 2,106 0 -100.00
2017-12-31 13F-HR FPP.WS / FieldPoint Petroleum Corp. Warrants 10 0 -100.00 0 0
2017-12-31 13F-HR FAC / First Acceptance Corp. 6,708 0 -100.00 7 0 -100.00
2017-12-31 13F-HR FTLS / First Trust Exchange-Traded Fund III 1,105 0 -100.00 41 0 -100.00
2017-12-31 13F-HR HDMV / First Trust 156 0 -100.00 5 0 -100.00
2017-12-31 13F-HR FSBSP / First South Bancorp, Inc. 1,053 0 -100.00 20 0 -100.00
2017-12-31 13F-HR FDTS / First Trust Developed Markets ex-US Small Cap AlphaDEX Fund 494 0 -100.00 20 0 -100.00
2017-12-31 13F-HR WAYN / Wayne Savings Bancshares, Inc. 750 0 -100.00 13 0 -100.00
2017-12-31 13F-HR ALLY / Ally Financial Inc. Call 450,000 0 -100.00 10,917 0