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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 (2016Q3)
Portfolio Summary: 4,917 holdings with a total value of $6,676,097,000.
#
Name
Shares
Value ($)
%
Options
Notes
101 READING INTERNATIONAL INC 31 0 0.00%
102 ASCENT CAP GROUP INC 7 0 0.00%
103 INSIGNIA SYS INC 1 0 0.00%
104 BIOANALYTICAL SYS INC 3 0 0.00%
105 SPDR S&P EMERGING EUROPE ETF 16 0 0.00%
106 CYTORI THERAPEUTICS INC 14 0 0.00%
107 STEMCELLS INC COM 202 0 0.00%
108 HEMISPHERX BIOPHARMA INC 80 0 0.00%
109 NUVECTRA CORP COM 35 0 0.00%
110 DIREXION DAILY TECHNOLOGY BEAR 3X SHARES 5 0 0.00%
111 OncoGenex Pharmaceuticals Inc 477 0 0.00%
112 Internap Network Services Corp 242 0 0.00%
113 BELLATRIX EXPLORATION LTD 14 0 0.00%
114 SCHMITT INDS INC ORE 5 0 0.00%
115 SIFY TECHNOLOGIES LTD 8 0 0.00%
116 BIODEL INC 1,000 0 0.00%
117 LA QUINTA HLDGS INC COM 1 0 0.00%
118 ASTERIAS BIOTHERAPEUTICS INC WT EXP 092917 134 0 0.00%
119 NETWORK 1 TECHNOLOGIES 156 0 0.00%
120 CITIZENS INC CL A 11 0 0.00%
121 STONE ENERGY CORP 15 0 0.00%
122 AMERICAN SUPERCONDUCTOR CORP 25 0 0.00%
123 TITAN PHARMACEUTICALS 4 0 0.00%
124 CONTROLADORA VUELA CIA DE AV 1 0 0.00%
125 ARADIGM CORP 2 0 0.00%
126 APTEVO THERAPEUTICS INC 50 0 0.00%
127 ONCONOVA THERAPEUTICS INC 80 0 0.00%
128 ARI Network Services Inc 50 0 0.00%
129 Isoray Inc 500 0 0.00%
130 BIOSTAGE INC 75 0 0.00%
131 EMAGIN CORP COM NEW 51 0 0.00%
132 HEALTHSTREAM INC COM 18 0 0.00%
133 TRONC INC 15 0 0.00%
134 CLEAR CHANNEL OUTDOOR HLDGS CL A 52 0 0.00%
135 DELCATH SYS INC 89 0 0.00%
136 LIBERTY MEDIA CORP DELAWARE COM A BRAVES GRP 18 0 0.00%
137 PARK ELECTROCHEMICAL CORP 6 0 0.00%
138 SAMSON OIL & GAS LTD 133 0 0.00%
139 PACIFIC ETHANOL INC 9 0 0.00%
140 QAD Inc 13 0 0.00%
141 SEARS CDA INC 160 0 0.00%
142 BEAZER HOMES USA INC COM NEW 3 0 0.00%
143 NL INDS INC COM NEW 3 0 0.00%
144 RPC INC 2 0 0.00%
145 LENNAR CORP 10 0 0.00%
146 NORTHWEST BIOTHERAPEUTICS 1,300 0 0.00%
147 PROSHARES TR 12 0 0.00%
148 AMTECH SYS INC 100 0 0.00%
149 SANOFI 2,267 0 0.00%
150 MRV COMMUNICATIONS INC 2 0 0.00%
Page 3 of 99

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001144204-16-134135, filed 2016.11.14).

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.