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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
101 WIRELESS TELECOM GROUP INC 300 0 0.00%
102 HEALTHSTREAM INC COM 18 0 0.00%
103 RELIV INTL INC COM NEW 400 0 0.00%
104 VALHI INC NEW COM 90 0 0.00%
105 MECHEL PAO SPONSORED ADR NE 107 0 0.00%
106 COMPANHIA ENERGETICA DE MINA 100 0 0.00%
107 Novacopper Inc 776 0 0.00%
108 AG&E HOLDINGS INC 1,789 0 0.00%
109 PACIFIC ETHANOL INC 9 0 0.00%
110 GOLDEN ENTMT INC COM 37 0 0.00%
111 TOWERSTREAM CORP 1,500 0 0.00%
112 HARRIS & HARRIS GROUP INC 100 0 0.00%
113 ZAYO GROUP HOLDINGS 0 0 0.00%
114 SYNTA PHARMACEUTICALS CORP 2,850 0 0.00%
115 NUVECTRA CORP COM 35 0 0.00%
116 HYDROGENICS CORP NEW 28 0 0.00%
117 INTELLIPHARMACEUTICS INTL IN 6 0 0.00%
118 AKEBIA THERAPEUTICS INC 59 0 0.00%
119 SHOE CARNIVAL INC 2 0 0.00%
120 UNITED DEV FDG IV COM 50,315 0 0.00%
121 Theravance Biopharma Inc 17 0 0.00%
122 Sunesis Pharmaceuticals I 700 0 0.00%
123 AVIRAGEN THERAPEUTICS INC 35 0 0.00%
124 TITAN PHARMACEUTICALS 4 0 0.00%
125 NATIONAL HOLDINGS CORP COM NEW 2 0 0.00%
126 DIFFERENTIAL BRANDS GROUP IN 157 0 0.00%
127 ASCENT CAP GROUP INC 7 0 0.00%
128 NATURES SUNSHINE PRODS INC 27 0 0.00%
129 SAGE THERAPEUTICS INC 16 0 0.00%
130 EPIRUS BIOPHARMA 10 0 0.00%
131 INVENTERGY GLOBAL INC COM NEW 20 0 0.00%
132 Crossroads SYS Inc 6 0 0.00%
133 TETRALOGIC PHARMA CO 200 0 0.00%
134 FUEL TECH INC 220 0 0.00%
135 BLACKROCK STRATEGIC MUN TR COM 9 0 0.00%
136 TRANSGENOMIC INC COM NEW 166 0 0.00%
137 DELCATH SYS INC COM NEW 1,456 0 0.00%
138 RXI PHARMACEUTICALS CORP NEW 38 0 0.00%
139 CLEAR CHANNEL OUTDOOR HLDGS CL A 52 0 0.00%
140 SAMSON OIL & GAS LTD 133 0 0.00%
141 AMEC FOSTER WHEELER PLC 44 0 0.00%
142 DYNEGY INCORPORATED NEW D 25 0 0.00%
143 HOLLYSYS AUTOMATION TECHNOLO 28 0 0.00%
144 RENREN INCORPORATED SPONSORED ADR 200 0 0.00%
145 EMAGIN CORP COM NEW 81 0 0.00%
146 NL INDS INC COM NEW 3 0 0.00%
147 OncoGenex Pharmaceuticals Inc 477 0 0.00%
148 Atara Biotherapeutics Inc 22 0 0.00%
149 CTI BIOPHARMA 1,202 0 0.00%
150 RACKSPACE HOSTING INC 20 0 0.00%
Page 3 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.