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Institutional Investment Manager
LADENBURG THALMANN FINANCIAL SERVICES INC.
LADENBURG THALMANN FINANCIAL SERVICES INC. (CIK: 0001029730) incorporated in Florida, registered under Security Brokers, Dealers & Flotation Companies, located at 4400 Biscayne Blvd., Miami, FL. Institutional holdings reported to the SEC.

Institutional Holdings (2015Q3)
Portfolio Summary: 4,771 holdings with a total value of $4,848,773,000.
#
Name
Shares
Value ($)
%
Options
Notes
51 NEFF CORP COM CL A 85 0 0.00%
52 Mechel Open Joint Stock Co. AD 215 0 0.00%
53 Tribune Publishing Co 15 0 0.00%
54 COMMUNITY HEALTH SYS INC NEW 400 0 0.00%
55 NET 1 UEPS TECHNOLOGIES INC 6 0 0.00%
56 INFORMATION SERVICES GROUP I 47 0 0.00%
57 SIFY TECHNOLOGIES LTD 8 0 0.00%
58 SPAR GROUP INC 200 0 0.00%
59 LIBERTY GLOBAL PLC 13 0 0.00%
60 CATALYST 71 0 0.00%
61 ELLSWORTH GROWTH AND INCOME FU COM 26 0 0.00%
62 WAFERGEN BIO-SYSTEMS INC 100 0 0.00%
63 BEAZER HOMES USA INC COM NEW 3 0 0.00%
64 Scorpio Bulkers Inc. 302 0 0.00%
65 Intersect ENT Inc 23 0 0.00%
66 Condor Hospitality Trust 62 0 0.00%
67 HUTTIG BLDG PRODS INC COM 90 0 0.00%
68 AMERICAN APPAREL INC COM 4,000 0 0.00%
69 GULF COAST ULTRA DEEP RTY TR ROYALTY TR UNT 1,665 0 0.00%
70 PRGX GLOBAL INC 12 0 0.00%
71 CROSSROADS SYS INC COM NEW 143 0 0.00%
72 STRATUS PPTYS INC 7 0 0.00%
73 ACTUA CORP 26 0 0.00%
74 CELGENE CORP 43 0 0.00%
75 KMG CHEMICALS INC COM 2 0 0.00%
76 OI S.A. 7 0 0.00%
77 ENNIS INC COM 3 0 0.00%
78 Vical Inc 1,000 0 0.00%
79 BROADVISION INC 120 0 0.00%
80 CGG 55 0 0.00%
81 PARAMOUNT GOLD NEV CORP 50 0 0.00%
82 OCEAN RIG UDW INC 118 0 0.00%
83 NCI INC 11 0 0.00%
84 MRV COMMUNICATIONS INC 12 0 0.00%
85 ADAMS RES & ENERGY INC 1 0 0.00%
86 DIREXION SHS ETF TR 1 0 0.00%
87 RXI PHARMACEUTICALS CORP NEW 902 0 0.00%
88 CITIZENS INC CL A 11 0 0.00%
89 BARRACUDA NETWORKS INC 24 0 0.00%
90 VILLAGE SUPER MKT INC CL A NEW 12 0 0.00%
91 Casella Waste SYS 64 0 0.00%
92 Novacopper Inc 776 0 0.00%
93 GIGA TRONICS INC 150 0 0.00%
94 HYDROGENICS CORP NEW 28 0 0.00%
95 AMERICAN SUPERCONDUCTOR CORP 12 0 0.00%
96 PHOTOMEDEX INC COM PAR $0.01 75 0 0.00%
97 MAG SILVER CORP 6 0 0.00%
98 ZULILY INC 25 0 0.00%
99 ONCONOVA THERAPEUTICS 200 0 0.00%
100 DYNEGY INCORPORATED NEW DEL WARRANT EXP 100217 77 0 0.00%
Page 2 of 96

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001144204-15-066017, filed 2015.11.16).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.