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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 (2016Q1)
Portfolio Summary: 4,888 holdings with a total value of $5,683,351,000.
#
Name
Shares
Value ($)
%
Options
Notes
1 DIREXION SHS ETF TR 6 0 0.00%
2 Casella Waste SYS 64 0 0.00%
3 ENNIS INC COM 3 0 0.00%
4 DRYSHIPS INC 239 0 0.00%
5 COVISINT CORP 28 0 0.00%
6 STRATUS PPTYS INC 10 0 0.00%
7 ECA MARCELLUS TR I 200 0 0.00%
8 COMPANHIA ENERGETICA DE MINA 100 0 0.00%
9 NATIONAL HOLDINGS CORP COM NEW 2 0 0.00%
10 ECHOSTAR CORP CL A 5 0 0.00%
11 MCEWEN MINING INC COM 104 0 0.00%
12 SPDR SERIES TRUST 15 0 0.00%
13 PERNIX THERAPEUTICS HLDGS IN 50 0 0.00%
14 GREAT PANTHER SILVER LTD 500 0 0.00%
15 SUPERCONDUCTOR TECHNOLOGIES 4 0 0.00%
16 ARI Network Services Inc 50 0 0.00%
17 INSIGNIA SYS INC 1 0 0.00%
18 MAG SILVER CORP 6 0 0.00%
19 Market Vectors Etf Tr Solar Energy Etf 10 0 0.00%
20 RELIV INTL INC COM NEW 400 0 0.00%
21 Centrus Energy Corp. 9 0 0.00%
22 EMAGIN CORP COM NEW 81 0 0.00%
23 COMMERCIAL VEH GROUP INC 177 0 0.00%
24 PIMCO NY MUNICIPAL INCOME FD COM 6 0 0.00%
25 SCHMITT INDS INC ORE 5 0 0.00%
26 PARK ELECTROCHEMICAL CORP 6 0 0.00%
27 STERLING CONSTRUCTION CO INC 3 0 0.00%
28 LIBERTY GLOBAL PLC 14 0 0.00%
29 SIFY TECHNOLOGIES LTD 33 0 0.00%
30 HMS Holding Corp 183 0 0.00%
31 BLUCORA INC 51 0 0.00%
32 LENNAR CORP 10 0 0.00%
33 RED ROBIN GOURMET BURGERS INC COM 4 0 0.00%
34 NCI INC 11 0 0.00%
35 HARRIS & HARRIS GROUP INC 100 0 0.00%
36 CHARLES & COLVARD LTD 525 0 0.00%
37 SEQUENOM INC 294 0 0.00%
38 KINDER MORGAN INCORPORATED DEL WARRANT EXP 052517 7,477 0 0.00%
39 EXETER RES CORP 300 0 0.00%
40 PARAGON SHIPPING INC 5 0 0.00%
41 XENOPORT INC 60 0 0.00%
42 RXI PHARMACEUTICALS CORP NEW 402 0 0.00%
43 CHANGYOU COM LTD 11 0 0.00%
44 DEMANDWARE INC 11 0 0.00%
45 DRAFTDAY FANTASY SPORTS INC COM NEW 1,000 0 0.00%
46 ARADIGM CORP 2 0 0.00%
47 DORIAN LPG LTD 45 0 0.00%
48 HEALTHSTREAM INC COM 18 0 0.00%
49 METABOLIX INC 198 0 0.00%
50 SANOFI 4,667 0 0.00%
Page 1 of 98

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001144204-16-102664, filed 2016.05.16).

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.