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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 (2015Q4)
Portfolio Summary: 4,856 holdings with a total value of $5,409,379,000.
#
Name
Shares
Value ($)
%
Options
Notes
101 SHUTTERSTOCK INC COM 0 0 0.00%
102 Nuverra Environmental Solutions Inc 1,024 0 0.00%
103 GIGA TRONICS INC 150 0 0.00%
104 MRV COMMUNICATIONS INC 17 0 0.00%
105 NETWORK 1 TECHNOLOGIES 156 0 0.00%
106 BLOUNT INTL INC NEW 14 0 0.00%
107 GOODRICH PETE CORP 1,705 0 0.00%
108 HARMONY GOLD MINING CO LTD 300 0 0.00%
109 TENAX THERAPEUTICS INC 1 0 0.00%
110 Global Ship Lease Inc 42 0 0.00%
111 PFSWEB INC COM STK 25 0 0.00%
112 MCEWEN MINING INC COM 104 0 0.00%
113 OI S.A. 7 0 0.00%
114 SPHERE 3D CORP NEW 115 0 0.00%
115 BIODEL INC 1,000 0 0.00%
116 TUESDAY MORNING CORP 39 0 0.00%
117 ADAMS RES & ENERGY INC 1 0 0.00%
118 QAD Inc 13 0 0.00%
119 RXI PHARMACEUTICALS CORP NEW 402 0 0.00%
120 TITAN PHARMACEUTICALS 4 0 0.00%
121 ASHFORD INC 1 0 0.00%
122 Theravance Biopharma Inc 17 0 0.00%
123 EASTMAN KODAK CO 12 0 0.00%
124 GENVEC INC 150 0 0.00%
125 ONCONOVA THERAPEUTICS 200 0 0.00%
126 OREXIGEN THERAPEUTICS INC COM 350 0 0.00%
127 CITIGROUP INC NEW 100 0 0.00%
128 CYTORI THERAPEUTIC INC 200 0 0.00%
129 ENTRAVISION COMMUNICATIONS C 3 0 0.00%
130 QUANTUM CORP COM DSSG 350 0 0.00%
131 LEGACY TEX FINL GROUP INC 2 0 0.00%
132 DELCATH SYS INC COM NEW 19 0 0.00%
133 Juniper Pharmaceuticals Inc 25 0 0.00%
134 GOLDEN ENTMT INC COM 37 0 0.00%
135 SAMSON OIL & GAS LTD 133 0 0.00%
136 CENTRAL EASTERN EUROPE FD 16 0 0.00%
137 HEMISPHERX BIOPHARMA INC 950 0 0.00%
138 FUEL TECH INC 220 0 0.00%
139 J ALEXANDERS HLDGS INC COM 32 0 0.00%
140 CEB Inc 1 0 0.00%
141 HUTTIG BLDG PRODS INC COM 90 0 0.00%
142 NL INDS INC COM NEW 3 0 0.00%
143 BROOKFIELD TOTAL RETURN FD I 16 0 0.00%
144 GULFMARK OFFSHORE INC 27 0 0.00%
145 HARVARD APPARATUS REGENER TE 75 0 0.00%
146 DIREXION SHS ETF TR 4 0 0.00%
147 INDIA GLOBALIZATION CAP INC 1,500 0 0.00%
148 CGG 55 0 0.00%
149 EASTMAN KODAK CO 12 0 0.00%
150 CROSSROADS SYS INC COM NEW 143 0 0.00%
Page 3 of 98

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001144204-16-082493, filed 2016.02.16).

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.