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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
101 SYNERGETICS USA INC 6 0 0.00%
102 BIOANALYTICAL SYS INC 3 0 0.00%
103 DRDGOLD LIMITED 100 0 0.00%
104 PARAGON SHIPPING INC 90 0 0.00%
105 EAGLE BULK SHIPPING INC 3 0 0.00%
106 HEMISPHERX BIOPHARMA INC 950 0 0.00%
107 NATIONAL HOLDINGS CORP COM NEW 6 0 0.00%
108 TRANSALTA CORP 70 0 0.00%
109 KINDRED HEALTHCARE INC 25 0 0.00%
110 SYNERON MEDICAL LTD 58 0 0.00%
111 RMG NETWORKS HLDG CORP 150 0 0.00%
112 J ALEXANDERS HLDGS INC COM 25 0 0.00%
113 UNIT CORP COM 36 0 0.00%
114 TRIPLE-S MGMT CORP 3 0 0.00%
115 OCLARO INC 23 0 0.00%
116 STEALTHGAS INC SHS 100 0 0.00%
117 BLOUNT INTL INC NEW 14 0 0.00%
118 Penn Virginia Corp 650 0 0.00%
119 FUEL TECH INC 220 0 0.00%
120 ASHFORD INC 1 0 0.00%
121 CYTORI THERAPEUTIC INC 200 0 0.00%
122 ASTEC INDS INC 11 0 0.00%
123 CIVEO CORP CDA 278 0 0.00%
124 MAST THERAPEUTICS INC COM 4 0 0.00%
125 PALATIN TECHNOLOGIES INC COM 140 0 0.00%
126 PFSWEB INC COM STK 25 0 0.00%
127 DELCATH SYS INC COM NEW 19 0 0.00%
128 ASCENT CAP GROUP INC 7 0 0.00%
129 Theravance Biopharma Inc 17 0 0.00%
130 SAMSON OIL & GAS LTD 133 0 0.00%
131 Cosi Inc. 50 0 0.00%
132 CENTRAL GARDEN & PET CO 15 0 0.00%
133 INDIA GLOBALIZATION CAP INC 1,500 0 0.00%
134 EMERSON RADIO CORP NEW 3/94 26 0 0.00%
135 SCHMITT INDS INC ORE 5 0 0.00%
136 NL INDS INC COM NEW 3 0 0.00%
137 TUESDAY MORNING CORP 32 0 0.00%
138 NAM TAI PPTY INC SHS 70 0 0.00%
139 UNIVERSAL TECHNICAL INST INC 72 0 0.00%
140 EASTMAN KODAK CO 12 0 0.00%
141 BASSETT FURNITURE INDS INC COM 6 0 0.00%
142 STERLING CONSTRUCTION CO INC 3 0 0.00%
143 PIMCO NY MUNICIPAL INCOME FD COM 6 0 0.00%
144 SHOE CARNIVAL INC 5 0 0.00%
145 GAIN CAP HLDGS INC 10 0 0.00%
146 WILLIAMS CLAYTON ENERGY INC 10 0 0.00%
147 RADISYS CORP COM 150 0 0.00%
148 Timberline Resources Corp 275 0 0.00%
149 BIODEL INC 1,000 0 0.00%
150 WAVE SYSTEMS CORP 8 0 0.00%
Page 3 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.