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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 (2016Q2)
Portfolio Summary: 4,918 holdings with a total value of $6,261,573,000.
#
Name
Shares
Value ($)
%
Options
Notes
1 KINDER MORGAN INCORPORATED DEL WARRANT EXP 052517 7,317 0 0.00%
2 OCEAN PWR TECHNOLOGIES INC 141 0 0.00%
3 AMERICAN SUPERCONDUCTOR CORP 32 0 0.00%
4 EPIRUS BIOPHARMA 10 0 0.00%
5 MATTERSIGHT CORP COM 88 0 0.00%
6 IMMUNE PHARMACEUTICALS INC 1,000 0 0.00%
7 SEQUENOM INC 294 0 0.00%
8 LA QUINTA HLDGS INC COM 35 0 0.00%
9 NORTHWEST BIOTHERAPEUTICS 1,300 0 0.00%
10 PERNIX THERAPEUTICS HLDGS IN 50 0 0.00%
11 Theravance Biopharma Inc 17 0 0.00%
12 PALATIN TECHNOLOGIES INC COM 540 0 0.00%
13 MECHEL PAO SPONSORED ADR NE 107 0 0.00%
14 CYTORI THERAPEUTICS INC 14 0 0.00%
15 ACTUA CORP 26 0 0.00%
16 OREXIGEN THERAPEUTICS INC COM 850 0 0.00%
17 CTI BIOPHARMA 1,202 0 0.00%
18 GLOBALSTAR INC 60 0 0.00%
19 WESTERN ASSET VAR RT STRG FD 1 0 0.00%
20 ONCOCYTE CORP 21 0 0.00%
21 AKEBIA THERAPEUTICS INC 59 0 0.00%
22 SPDR S&P EMERGING EUROPE ETF 16 0 0.00%
23 MCEWEN MINING INC COM 104 0 0.00%
24 AVIRAGEN THERAPEUTICS INC 35 0 0.00%
25 Atara Biotherapeutics Inc 22 0 0.00%
26 Dynamic Materials 0 0 0.00%
27 NATIONAL HOLDINGS CORP COM NEW 2 0 0.00%
28 PARK ELECTROCHEMICAL CORP 6 0 0.00%
29 TETRALOGIC PHARMA CO 200 0 0.00%
30 NATURES SUNSHINE PRODS INC 27 0 0.00%
31 SHUTTERFLY INC 9 0 0.00%
32 Apricus Biosciences, Inc. 1,000 0 0.00%
33 PROSHARES TR 0 0 0.00%
34 ADVANCED ACCELERATOR APPLIC 11 0 0.00%
35 CITI TRENDS INC COM 11 0 0.00%
36 XENOPORT INC 60 0 0.00%
37 EXETER RES CORP 300 0 0.00%
38 GEOSPACE TECHNOLOGIES CORP COM 20 0 0.00%
39 GENTHERM INC 10 0 0.00%
40 IMMUNOMEDICS INCORPORATED 200 0 0.00%
41 AEGERION PHARMACEUTICALS INC 311 0 0.00%
42 TOWERSTREAM CORP 1,500 0 0.00%
43 SEARS CDA INC 162 0 0.00%
44 TRONC INC 15 0 0.00%
45 ASTERIAS BIOTHERAPEUTICS INC WT EXP 092917 134 0 0.00%
46 PHOTOMEDEX INC COM PAR $0.01 75 0 0.00%
47 GIGA TRONICS INC 150 0 0.00%
48 MRV COMMUNICATIONS INC 17 0 0.00%
49 SCHMITT INDS INC ORE 5 0 0.00%
50 GIGAMEDIA LTD 100 0 0.00%
Page 1 of 99

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001144204-16-119451, filed 2016.08.15).

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.