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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
101 Theravance Biopharma Inc 17 0 0.00%
102 SHUTTERSTOCK INC COM 13 0 0.00%
103 CELGENE CORP 43 0 0.00%
104 EAGLE BULK SHIPPING INC 5 0 0.00%
105 Condor Hospitality Trust 62 0 0.00%
106 Sunesis Pharmaceuticals I 700 0 0.00%
107 HYDROGENICS CORP NEW 28 0 0.00%
108 OncoGenex Pharmaceuticals Inc 477 0 0.00%
109 PROSHARES ULTRASHORT BASIC MATERIALS 12 0 0.00%
110 SYNTA PHARMACEUTICALS CORP 2,850 0 0.00%
111 BIND THERAPEUTICS INC 100 0 0.00%
112 NEUBERGER BERMAN RE ES SEC FD 39 0 0.00%
113 NRG YIELD INC 33 0 0.00%
114 CommVault Systems Inc 10 0 0.00%
115 MAST THERAPEUTICS INC COM 4 0 0.00%
116 GULFMARK OFFSHORE INC 27 0 0.00%
117 DIREXION DAILY TECHNOLOGY BEAR 3X SHARES 5 0 0.00%
118 DATAWATCH CORP 100 0 0.00%
119 GLYCOMIMETICS INC 0 0 0.00%
120 SHOE CARNIVAL INC 1 0 0.00%
121 TITAN PHARMACEUTICALS 4 0 0.00%
122 GIGAMEDIA LTD 100 0 0.00%
123 DISCOVERY LABORATORIES INC N 142 0 0.00%
124 STEALTHGAS INC SHS 100 0 0.00%
125 SEARS CDA INC 162 0 0.00%
126 RACKSPACE HOSTING INC 20 0 0.00%
127 PACIFIC ETHANOL INC 9 0 0.00%
128 ClubCorp Hldgs Inc 1 0 0.00%
129 JAMBA INC COM STK 29 0 0.00%
130 ORION ENERGY SYSTEMS INC 100 0 0.00%
131 NATURES SUNSHINE PRODS INC 27 0 0.00%
132 MECHEL PAO SPONSORED ADR NE 107 0 0.00%
133 WESTERN ASSET VAR RT STRG FD 1 0 0.00%
134 BIOTA PHARMACEUTIALS INC COM 35 0 0.00%
135 DELCATH SYS INC COM NEW 1,456 0 0.00%
136 CROSSROADS SYS INC COM NEW 143 0 0.00%
137 ACTUA CORP 26 0 0.00%
138 SAMSON OIL & GAS LTD 133 0 0.00%
139 FIRST MARBLEHEAD CORP 43 0 0.00%
140 READING INTERNATIONAL INC 31 0 0.00%
141 ROCKET FUEL INC 142 0 0.00%
142 EATON VANCE NATL MUN OPPORT 15 0 0.00%
143 ARTISAN PARTNERS ASSET MGMT 29 0 0.00%
144 NL INDS INC COM NEW 3 0 0.00%
145 TOWERSTREAM CORP 1,500 0 0.00%
146 MRV COMMUNICATIONS INC 17 0 0.00%
147 BIOANALYTICAL SYS INC 3 0 0.00%
148 ALEXZA PHARMACEUTICALS INC COM NEW 900 0 0.00%
149 BIODEL INC 1,000 0 0.00%
150 WESTERN COPPER & GOLD CORP 82 0 0.00%
Page 3 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.